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Search » Library » Authors » Gunaratana The Jhanas in Theravada Buddhist Meditation by Henepola Gunaratana © 1995 Contents Abbreviations 1. Introduction The Doctrinal Context of Jhana Etymology of Jhana Jhana and Samadhi 2. The Preparation for Jhana The Moral Foundation for Jhana The Good Friend and the Subject of Meditation Choosing a Suitable Dwelling 3. The First Jhana and its Factors The Abandoning of the Hindrances The Factors of the First Jhana Perfecting the First Jhana 4. The Higher Jhanas The Higher Fine-material Jhanas The Immaterial Jhanas The Jhanas and Rebirth 5. Jhanas and the Supramundane The Way of Wisdom The Two Vehicles Supramundane Jhana The Jhanic Level of the Path and Fruit 6. Jhana and the Noble Disciples Seven Types of Disciples Jhana and the Arahant About the Author The Jhanas in Theravada Buddhist Meditation http://www.accesstoinsight.org/lib/authors/gunaratana/wheel351.html 1 of 46 3/2/16, 10:48 AM

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Page 1: The Jhanas in Theravada Buddhist Meditation - … · The various subjects and methods of meditation expounded in the Theravada Buddhist scriptures — the Pali canon and its commentaries

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The Jhanas in Theravada Buddhist Meditationby

Henepola Gunaratana© 1995

ContentsAbbreviations

1. IntroductionThe Doctrinal Context of Jhana

Etymology of Jhana

Jhana and Samadhi

2. The Preparation for JhanaThe Moral Foundation for Jhana

The Good Friend and the Subject of Meditation

Choosing a Suitable Dwelling

3. The First Jhana and its FactorsThe Abandoning of the Hindrances

The Factors of the First Jhana

Perfecting the First Jhana

4. The Higher JhanasThe Higher Fine-material Jhanas

The Immaterial Jhanas

The Jhanas and Rebirth

5. Jhanas and the SupramundaneThe Way of Wisdom

The Two Vehicles

Supramundane Jhana

The Jhanic Level of the Path and Fruit

6. Jhana and the Noble DisciplesSeven Types of Disciples

Jhana and the Arahant

About the Author

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Notes

AbbreviationsPTS = Pali Text Society editionBBS = Burmese Buddhasasana Samiti edition

A. .... Anguttara Nikaya (PTS)D. .... Digha Nikaya (PTS)Dhs. .... Dhammasangani (BBS)Dhs.A. .... Dhammasangani Atthakatha = Atthasalini (BBS)M. .... Majjhima Nikaya (PTS)M.A. .... Majjhima Nikaya Atthakatha (BBS)Miln. .... Milindapanha (PTS)PP. .... Path of Purification (translation of Visuddhimagga, by Bhikkhu Ñanamoli;Kandy: BPS, 1975)S. .... Samyutta Nikaya (PTS)SA. .... Samyutta Nikaya Atthakatha (BBS)ST. .... Samyutta Nikaya Tika (BBS)Vbh. .... Vibhanga (PTS)Vin.A. .... Vinaya Atthakatha (BBS)Vism. .... Visuddhimagga (PTS)Vism.T. .... Visuddhimagga Tika (BBS)

1. Introduction

The Doctrinal Context of Jhana

The Buddha says that just as in the great ocean there is but one taste, the taste of salt,so in his doctrine and discipline there is but one taste, the taste of freedom. The taste offreedom that pervades the Buddha's teaching is the taste of spiritual freedom, which fromthe Buddhist perspective means freedom from suffering. In the process leading todeliverance from suffering, meditation is the means of generating the inner awakeningrequired for liberation. The methods of meditation taught in the Theravada Buddhisttradition are based on the Buddha's own experience, forged by him in the course of hisown quest for enlightenment. They are designed to re-create in the disciple who practicesthem the same essential enlightenment that the Buddha himself attained when he satbeneath the Bodhi tree, the awakening to the Four Noble Truths.

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The various subjects and methods of meditation expounded in the Theravada Buddhistscriptures — the Pali canon and its commentaries — divide into two inter-related systems.One is called the development of serenity (samathabhavana), the other the developmentof insight (vipassanabhavana). The former also goes under the name of development ofconcentration (samadhibhavana), the latter the development of wisdom (paññabhavana).The practice of serenity meditation aims at developing a calm, concentrated, unified mindas a means of experiencing inner peace and as a basis for wisdom. The practice of insightmeditation aims at gaining a direct understanding of the real nature of phenomena. Of thetwo, the development of insight is regarded by Buddhism as the essential key toliberation, the direct antidote to the ignorance underlying bondage and suffering. Whereasserenity meditation is recognized as common to both Buddhist and non-Buddhistcontemplative disciplines, insight meditation is held to be the unique discovery of theBuddha and an unparalleled feature of his path. However, because the growth of insightpresupposes a certain degree of concentration, and serenity meditation helps to achievethis, the development of serenity also claims an incontestable place in the Buddhistmeditative process. Together the two types of meditation work to make the mind a fitinstrument for enlightenment. With his mind unified by means of the development ofserenity, made sharp and bright by the development of insight, the meditator can proceedunobstructed to reach the end of suffering, Nibbana.

Pivotal to both systems of meditation, though belonging inherently to the side of serenity,is a set of meditative attainments called the jhanas. Though translators have offeredvarious renderings of this word, ranging from the feeble "musing" to the misleading"trance" and the ambiguous "meditation," we prefer to leave the word untranslated and tolet its meaning emerge from its contextual usages. From these it is clear that the jhanasare states of deep mental unification which result from the centering of the mind upon asingle object with such power of attention that a total immersion in the object takes place.The early suttas speak of four jhanas, named simply after their numerical position in theseries: the first jhana, the second jhana, the third jhana and the forth jhana. In the suttasthe four repeatedly appear each described by a standard formula which we will examinelater in detail.

The importance of the jhanas in the Buddhist path can readily be gauged from thefrequency with which they are mentioned throughout the suttas. The jhanas figureprominently both in the Buddha's own experience and in his exhortation to disciples. Inhis childhood, while attending an annual plowing festival, the future Buddhaspontaneously entered the first jhana. It was the memory of this childhood incident, manyyears later after his futile pursuit of austerities, that revealed to him the way toenlightenment during his period of deepest despondency (M.i, 246-47). After taking hisseat beneath the Bodhi tree, the Buddha entered the four jhanas immediately beforedirection his mind to the threefold knowledge that issued in his enlightenment(M.i.247-49). Throughout his active career the four jhanas remained "his heavenlydwelling" (D.iii,220) to which he resorted in order to live happily here and now. Hisunderstanding of the corruption, purification and emergence in the jhanas and othermeditative attainments is one of the Tathagata's ten powers which enable him to turn thematchless wheel of the Dhamma (M.i,70). Just before his passing away the Buddhaentered the jhanas in direct and reverse order, and the passing away itself took placedirectly from the fourth jhana (D.ii,156).

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The Buddha is constantly seen in the suttas encouraging his disciples to develop jhana.The four jhanas are invariably included in the complete course of training laid down fordisciples.[1] They figure in the training as the discipline of higher consciousness(adhicittasikkha), right concentration (sammasamadhi) of the Noble Eightfold Path, andthe faculty and power of concentration (samadhindriya, samadhibala). Though a vehicle ofdry insight can be found, indications are that this path is not an easy one, lacking the aidof the powerful serenity available to the practitioner of jhana. The way of the jhanaattainer seems by comparison smoother and more pleasurable (A.ii,150-52). The Buddhaeven refers to the four jhanas figuratively as a kind of Nibbana: he calls them immediatelyvisible Nibbana, factorial Nibbana, Nibbana here and now (A.iv,453-54).

To attain the jhanas, the meditator must begin by eliminating the unwholesome mentalstates obstructing inner collectedness, generally grouped together as the five hindrances(pañcanivarana): sensual desire, ill will, sloth and torpor, restlessness and worry anddoubt.[2] The mind's absorption on its object is brought about by five opposing mentalstates — applied thought, sustained thought, rapture, happiness and one pointedness[3]— called the jhana factors (jhanangani) because they lift the mind to the level of the firstjhana and remain there as its defining components.

After reaching the first jhana the ardent meditator can go on to reach the higher jhanas,which is done by eliminating the coarser factors in each jhana. Beyond the four jhanas liesanother fourfold set of higher meditative states which deepen still further the element ofserenity. These attainments (aruppa), are the base of boundless space, the base ofboundless consciousness, the base of nothingness, and the base of neither-perception-nor-non-perception.[4] In the Pali commentaries these come to be called the fourimmaterial jhanas (arupajhana), the four preceding states being renamed for the sake ofclarity, the four fine-material jhanas (rupajhana). Often the two sets are joined togetherunder the collective title of the eight jhanas or the eight attainments (atthasamapattiyo).

The four jhanas and the four immaterial attainments appear initially as mundane states ofdeep serenity pertaining to the preliminary stage of the Buddhist path, and on this levelthey help provide the base of concentration needed for wisdom to arise. But the fourjhanas again reappear in a later stage in the development of the path, in directassociation with liberating wisdom, and they are then designated the supramundane(lokuttara) jhanas. These supramundane jhanas are the levels of concentration pertainingto the four degrees of enlightenment experience called the supramundane paths (magga)and the stages of liberation resulting from them, the four fruits (phala).

Finally, even after full liberation is achieved, the mundane jhanas can still remain asattainments available to the fully liberated person, part of his untrammeled contemplativeexperience.

Etymology of Jhana

The great Buddhist commentator Buddhaghosa traces the Pali word "jhana" (Skt. dhyana)to two verbal forms. One, the etymologically correct derivation, is the verb jhayati,meaning to think or meditate; the other is a more playful derivation, intended toilluminate its function rather than its verbal source, from the verb jhapeti meaning to burn

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up. He explains: "It burns up opposing states, thus it is jhana" (Vin.A. i, 116), the purportbeing that jhana "burns up" or destroys the mental defilements preventing the developingthe development of serenity and insight.

In the same passage Buddhaghosa says that jhana has the characteristic mark ofcontemplation (upanijjhana). Contemplation, he states, is twofold: the contemplation ofthe object and the contemplation of the characteristics of phenomena. The former isexercised by the eight attainments of serenity together with their access, since thesecontemplate the object used as the basis for developing concentration; for this reasonthese attainments are given the name "jhana" in the mainstream of Pali meditativeexposition. However, Buddhaghosa also allows that the term "jhana" can be extendedloosely to insight (vipassana), the paths and the fruits on the ground that these performthe work of contemplating the characteristics of things the three marks of impermanence,suffering and non-self in the case of insight, Nibbana in the case of the paths and fruits.

In brief the twofold meaning of jhana as "contemplation" and "burning up" can be broughtinto connection with the meditative process as follows. By fixing his mind on the objectthe meditator reduces and eliminates the lower mental qualities such as the fivehindrances and promotes the growth of the higher qualities such as the jhana factors,which lead the mind to complete absorption in the object. Then by contemplating thecharacteristics of phenomena with insight, the meditator eventually reaches thesupramundane jhana of the four paths, and with this jhana he burns up the defilementsand attains the liberating experience of the fruits.

Jhana and Samadhi

In the vocabulary of Buddhist meditation the word "jhana" is closely connected withanother word, "samadhi" generally rendered by "concentration." Samadhi derives fromthe prefixed verbal root sam-a-dha, meaning to collect or to bring together, thussuggesting the concentration or unification of the mind. The word "samadhi" is almostinterchangeable with the word "samatha," serenity, though the latter comes from adifferent root, sam, meaning to become calm.

In the suttas samadhi is defined as mental one-pointedness, (cittass'ekaggata M.i,301)and this definition is followed through rigorously in the Abhidhamma. The Abhidhammatreats one-pointedness as a distinct mental factor present in every state of consciousness,exercising the function of unifying the mind on its object. From this strict psychologicalstandpoint samadhi can be present in unwholesome states of consciousness as well as inwholesome an neutral states. In its unwholesome forms it is called "wrong concentration"(micchasamadhi), In its wholesome forms "right concentration" (sammasamadhi).

In expositions on the practice of meditation, however, samadhi is limited toone-pointedness of mind (Vism.84-85; PP.84-85), and even here we can understand fromthe context that the word means only the wholesome one-pointedness involved in thedeliberate transmutation of the mind to a heightened level of calm. Thus Buddhaghosaexplains samadhi etymologically as "the centering of consciousness and consciousnessconcomitants evenly and rightly on a single object... the state in virtue of whichconsciousness and its concomitants remain evenly and rightly on a single object,

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undistracted and unscattered" (Vism.84-85; PP.85).

However, despite the commentator's bid for consistency, the word samadhi is used in thePali literature on meditation with varying degrees of specificity of meaning. In thenarrowest sense, as defined by Buddhaghosa, it denotes the particular mental factorresponsible for the concentrating of the mind, namely, one-pointedness. In a wider senseit can signify the states of unified consciousness that result from the strengthening ofconcentration, i.e., the meditative attainments of serenity and the stages leading up tothem. And in a still wider sense the word samadhi can be applied to the method ofpractice used to produce and cultivate these refined states of concentration, here beingequivalent to the development of serenity.

It is in the second sense that samadhi and jhana come closest in meaning. The Buddhaexplains right concentration as the four jhanas (D.ii,313), and in doing so allowsconcentration to encompass the meditative attainments signified by the jhanas. However,even though jhana and samadhi can overlap in denotation, certain differences in theirsuggested and contextual meanings prevent unqualified identification of the two terms.First behind the Buddha's use of the jhana formula to explain right concentration lies amore technical understanding of the terms. According to this understanding samadhi canbe narrowed down in range to signify only one mental factor, the most prominent in thejhana, namely, one-pointedness, while the word "jhana" itself must be seen asencompassing the state of consciousness in its entirety, or at least the whole group ofmental factors individuating that meditative state as a jhana.

In the second place, when samadhi is considered in its broader meaning it involves awider range of reference than jhana. The Pali exegetical tradition recognizes three levelsof samadhi: preliminary concentration (parikammasamadhi), which is produced as a resultof the meditator's initial efforts to focus his mind on his meditation subject; accessconcentration (upacarasamadhi), marked by the suppression of the five hindrances, themanifestation of the jhana factors, and the appearance of a luminous mental replica of themeditation object called the counterpart sign (patibhaganimitta); and absorptionconcentration (appanasamadhi), the complete immersion of the mind in its object effectedby the full maturation of the jhana factors.[5] Absorption concentration comprises theeight attainments, the four immaterial attainments, and to this extent jhana and samadhicoincide. However, samadhi still has a broader scope than jhana, since it includes not onlythe jhanas themselves but also the two preparatory degrees of concentration leading upto them. Further, samadhi also covers a still different type of concentration calledmomentary concentration (khanikasamadhi), the mobile mental stabilization produced inthe course of insight contemplation of the passing flow of phenomena.

2. The Preparation for JhanaThe jhanas do not arise out of a void but in dependence on the right conditions. Theycome to growth only when provided with the nutriments conductive to their development.Therefore, prior to beginning meditation, the aspirant to the jhanas must prepare a

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groundwork for his practice by fulfilling certain preliminary requirements. He first mustendeavor to purify his moral virtue, sever the outer impediments to practice, and placehimself under a qualified teacher who will assign him a suitable meditation subject andexplain to him the methods of developing it. After learning these the disciple must thenseek out a congenial dwelling and diligently strive for success. In this chapter we willexamine in order each of the preparatory steps that have to be fulfilled beforecommencing to develop jhana.

The Moral Foundation for Jhana

A disciple aspiring to the jhanas first has to lay a solid foundation of moral discipline.Moral purity is indispensable to meditative progress for several deeply psychologicalreasons. It is needed first, in order to safeguard against the danger of remorse, thenagging sense of guilt that arises when the basic principles of morality are ignored ordeliberately violated. Scrupulous conformity to virtuous rules of conduct protects themeditator from this danger disruptive to inner calm, and brings joy and happiness whenthe meditator reflects upon the purity of his conduct (see A.v,1-7).

A second reason a moral foundation is needed for meditation follows from anunderstanding of the purpose of concentration. Concentration, in the Buddhist discipline,aims at providing a base for wisdom by cleansing the mind of the dispersive influence ofthe defilements. But in order for the concentration exercises to effectively combat thedefilements, the coarser expressions of the latter through bodily and verbal action firsthave to be checked. Moral transgressions being invariably motivated by defilements — bygreed, hatred and delusion — when a person acts in violation of the precepts of moralityhe excites and reinforces the very same mental factors his practice of meditation isintended to eliminate. This involves him in a crossfire of incompatible aims which rendershis attempts at mental purification ineffective. The only way he can avoid frustration in hisendeavor to purify the mind of its subtler defilements is to prevent the unwholesome innerimpulses from breathing out in the coarser form of unwholesome bodily and verbal deeds.Only when he establishes control over the outer expression of the defilements can he turnto deal with them inwardly as mental obsessions that appear in the process of meditation.

The practice of moral discipline consists negatively in abstinence from immoral actions ofbody and speech and positively in the observance of ethical principles promoting peacewithin oneself and harmony in one's relations with others. The basic code of moraldiscipline taught by the Buddha for the guidance of his lay followers is the five precepts:abstinence from taking life, from stealing, from sexual misconduct, from false speech, andfrom intoxicating drugs and drinks. These principles are bindings as minimal ethicalobligations for all practitioners of the Buddhist path, and within their bounds considerableprogress in meditation can be made. However, those aspiring to reach the higher levels ofjhanas and to pursue the path further to the stages of liberation, are encouraged to takeup the more complete moral discipline pertaining to the life of renunciation. EarlyBuddhism is unambiguous in its emphasis on the limitations of household life for followingthe path in its fullness and perfection. Time and again the texts say that the household lifeis confining, a "path for the dust of passion," while the life of homelessness is like openspace. Thus a disciple who is fully intent upon making rapid progress towards Nibbana willwhen outer conditions allow for it, "shave off his hair and beard, put on the yellow robe,

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and go forth from the home life into homelessness" (M.i,179).

The moral training for the bhikkhus or monks has been arranged into a system called thefourfold purification of morality (catuparisuddhisila).[6] The first component of thisscheme, its backbone, consists in the morality of restraint according to the Patimokkha,the code of 227 training precepts promulgated by the Buddha to regulate the conduct ofthe Sangha or monastic order. Each of these rules is in some way intended to facilitatecontrol over the defilements and to induce a mode of living marked by harmlessness,contentment and simplicity. The second aspect of the monk's moral discipline is restraintof the senses, by which the monk maintains close watchfulness over his mind as heengages in sense contacts so that he does not give rise to desire for pleasurable objectsand aversion towards repulsive ones. Third, the monk is to live by a purified livelihood,obtaining his basic requisites such as robes, food, lodgings and medicines in waysconsistent with his vocation. The fourth factor of the moral training is proper use of therequisites, which means that the monk should reflect upon the purposes for which hemakes use of his requisites and should employ them only for maintaining his health andcomfort, not for luxury and enjoyment.

After establishing a foundation of purified morality, the aspirant to meditation is advisedto cut off any outer impediments (palibodha) that may hinder his efforts to lead acontemplative life. These impediments are numbered as ten: a dwelling, which becomesan impediment for those who allow their minds to become preoccupied with its upkeep orwith its appurtenances; a family of relatives or supporters with whom the aspirant maybecome emotionally involved in ways that hinder his progress; gains, which may bind themonk by obligation to those who offer them; a class of students who must be instructed;building work, which demands time and attention; travel; kin, meaning parents, teachers,pupils or close friends; illness; the study of scriptures; and supernormal powers, whichare an impediment to insight (Vism.90-97; PP.91-98).

The Good Friend and the Subject of Meditation

The path of practice leading to the jhanas is an arduous course involving precisetechniques and skillfulness is needed in dealing with the pitfalls that lie along the way. Theknowledge of how to attain the jhanas has been transmitted through a lineage of teachersgoing back to the time of the Buddha himself. A prospective meditator is advised to availhimself of the living heritage of accumulated knowledge and experience by placing himselfunder the care of a qualified teacher, described as a "good friend" (kalyanamitta), onewho gives guidance and wise advice rooted in his own practice and experience. On thebasis of either of the power of penetrating others minds, or by personal observation, or byquestioning, the teacher will size up the temperament of his new pupil and then select ameditation subject for him appropriate to his temperament.

The various meditation subjects that the Buddha prescribed for the development ofserenity have been collected in the commentaries into a set called the forty kammatthana.This word means literally a place of work, and is applied to the subject of meditation asthe place where the meditator undertakes the work of meditation. The forty meditationsubjects are distributed into seven categories, enumerated in the Visuddhimagga asfollows: ten kasinas, ten kinds of foulness, ten recollections, four divine abidings, four

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immaterial states, one perception, and one defining.[7]

A kasina is a device representing a particular quality used as a support for concentration.The ten kasinas are those of earth, water, fire and air; four color kasinas — blue, yellow,red and white; the light kasina and the limited space kasina. The kasina can be either anaturally occurring form of the element or color chosen, or an artificially produced devicesuch as a disk that the meditator can use at his convenience in his meditation quarters.

The ten kinds of foulness are ten stages in the decomposition of a corpse: the bloated, thelivid, the festering, the cut-up, the gnawed, the scattered, the hacked and scattered, thebleeding, the worm-infested and a skeleton. The primary purpose of these meditations isto reduce sensual lust by gaining a clear perception of the repulsiveness of the body.

The ten recollections are the recollections of the Buddha, the Dhamma, the Sangha,morality, generosity and the deities, mindfulness of death, mindfulness of the body,mindfulness of breathing, and the recollection of peace. The first three are devotionalcontemplations on the sublime qualities of the "Three Jewels," the primary objects ofBuddhist virtues and on the deities inhabiting the heavenly worlds, intended principally forthose still intent on a higher rebirth. Mindfulness of death is reflection on the inevitabilityof death, a constant spur to spiritual exertion. Mindfulness of the body involves the mentaldissection of the body into thirty-two parts, undertaken with a view to perceiving itsunattractiveness. Mindfulness of breathing is awareness of the in-and-out movement ofthe breath, perhaps the most fundamental of all Buddhist meditation subjects. And therecollection of peace is reflection on the qualities of Nibbana.

The four divine abidings (brahmavihara) are the development of boundless loving-kindness, compassion, sympathetic joy and equanimity. These meditations are also calledthe "immeasurables" (appamañña) because they are to be developed towards all sentientbeings without qualification or exclusiveness.

The four immaterial states are the base of boundless space, the base of boundlessconsciousness, the base of nothingness, and the base of neither-perception-nor-non-perception. These are the objects leading to the corresponding meditative attainments,the immaterial jhanas.

The one perception is the perception of the repulsiveness of food. The one defining is thedefining of the four elements, that is, the analysis of the physical body into the elementalmodes of solidity, fluidity, heat and oscillation.

The forty meditation subjects are treated in the commentarial texts from two importantangles — one their ability to induce different levels of concentration, the other theirsuitability for differing temperaments. Not all meditation subjects are equally effective ininducing the deeper levels of concentration. They are first distinguished on the basis oftheir capacity for inducing only access concentration or for inducing full absorption; thosecapable of inducing absorption are then distinguished further according to their ability toinduce the different levels of jhana.

Of the forty subjects, ten are capable of leading only to access concentration: eightrecollections — i.e., all except mindfulness of the body and mindfulness of breathing —

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plus the perception of repulsiveness in nutriment and the defining of the four elements.These, because they are occupied with a diversity of qualities and involve and activeapplication of discursive thought, cannot lead beyond access. The other thirty subjects canall lead to absorption.

The ten kasinas and mindfulness of breathing, owing to their simplicity and freedom fromthought construction, can lead to all four jhanas. The ten kinds of foulness andmindfulness of the body lead only to the first jhana, being limited because the mind canonly hold onto them with the aid of applied thought (vitakka) which is absent in thesecond and higher jhanas. The first three divine abidings can induce the lower threejhanas but not the fourth, since they arise in association with pleasant feeling, while thedivine abiding of equanimity occurs only at the level of the fourth jhana, where neutralfeeling gains ascendency. The four immaterial states conduce to the respective immaterialjhanas corresponding to their names.

The forty subjects are also differentiated according to their appropriateness for differentcharacter types. Six main character types are recognized — the greedy, the hating, thedeluded, the faithful, the intelligent and the speculative — this oversimplified typologybeing taken only as a pragmatic guideline which in practice admits various shades andcombinations. The ten kind of foulness and mindfulness of the body, clearly intended toattenuate sensual desire, are suitable for those of greedy temperament. Eight subjects —the four divine abidings and four color kasinas — are appropriate for the hatingtemperament. Mindfulness of breathing is suitable for those of the deluded and thespeculative temperament. The first six recollections are appropriate for the faithfultemperament. Four subjects — mindfulness of death, the recollection of peace, thedefining of the four elements, and the perception of the repulsiveness in nutriment — areespecially effective for those of intelligent temperament. The remaining six kasinas andthe immaterial states are suitable for all kinds of temperaments. But the kasinas shouldbe limited in size for one of speculative temperament and large in size for one of deludedtemperament.

Immediately after giving this breakdown Buddhaghosa adds a proviso to preventmisunderstanding. He states that this division by way of temperament is made on thebasis of direct opposition and complete suitability, but actually there is no wholesomeform of meditation that does not suppress the defilements and strengthen the virtuousmental factors. Thus an individual meditator may be advised to meditate on foulness toabandon lust, on loving-kindness to abandon hatred, on breathing to cut off discursivethought, and on impermanence to eliminate the conceit "I am" (A.iv,358).

Choosing a Suitable Dwelling

The teacher assigns a meditation subject to his pupil appropriate to his character andexplains the methods of developing it. He can teach it gradually to a pupil who is going toremain in close proximity to him, or in detail to one who will go to practice it elsewhere. Ifthe disciple is not going to stay with his teacher he must be careful to select a suitableplace for meditation. The texts mention eighteen kinds of monasteries unfavorable to thedevelopment of jhana: a large monastery, a new one, a dilapidated one, one near a road,one with a pond, leaves, flowers or fruits, one sought after by many people, one in cities,

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among timber of fields, where people quarrel, in a port, in border lands, on a frontier, ahaunted place, and one without access to a spiritual teacher (Vism. 118-121; PP122-125).

The factors which make a dwelling favorable to meditation are mentioned by the Buddhahimself. If should not be too far from or too near a village that can be relied on as an almsresort, and should have a clear path: it should be quiet and secluded; it should be freefrom rough weather and from harmful insects and animals; one should be able to obtainone's physical requisites while dwelling there; and the dwelling should provide readyaccess to learned elders and spiritual friends who can be consulted when problems arise inmeditation (A.v,15). The types of dwelling places commended by the Buddha mostfrequently in the suttas as conductive to the jhanas are a secluded dwelling in the forest,at the foot of a tree, on a mountain, in a cleft, in a cave, in a cemetery, on a woodedflatland, in the open air, or on a heap of straw (M.i,181). Having found a suitable dwellingand settled there, the disciple should maintain scrupulous observance of the rules ofdiscipline, He should be content with his simple requisites, exercise control over his sensefaculties, be mindful and discerning in all activities, and practice meditation diligently ashe was instructed. It is at this point that he meets the first great challenge of hiscontemplative life, the battle with the five hindrances.

3. The First Jhana and its FactorsThe attainment of any jhana comes about through a twofold process of development. Onone side the states obstructive to it, called its factors of abandonment, have to beeliminated, on the other the states composing it, called its factors of possession, have tobe acquired. In the case of the first jhana the factors of abandonment are the fivehindrances and the factors of possession the five basic jhana factors. Both are alluded toin the standard formula for the first jhana, the opening phrase referring to theabandonment of the hindrances and the subsequent portion enumerating the jhanafactors:

Quite secluded from sense pleasures, secluded from unwholesome states of mind, heenters and dwells in the first jhana, which is accompanied by applied thought andsustained thought with rapture and happiness born of seclusion. (M.i,1818;Vbh.245)

In this chapter we will first discuss the five hindrances and their abandonment, then wewill investigate the jhana factors both individually and by way of their combinedcontribution to the attainment of the first jhana. We will close the chapter with someremarks on the ways of perfecting the first jhana, a necessary preparation for the furtherdevelopment of concentration.

The Abandoning of the Hindrances

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The five hindrances (pañcanivarana) are sensual desire, ill will, sloth and torpor,restlessness and worry, and doubt. This group, the principal classification the Buddha usesfor the obstacles to meditation, receives its name because its five members hinder andenvelop the mind, preventing meditative development in the two spheres of serenity andinsight. Hence the Buddha calls them "obstructions, hindrances, corruptions of the mindwhich weaken wisdom"(S.v,94).

The hindrance of sensual desire (kamachanda) is explained as desire for the "five strandsof sense pleasure," that is, for pleasant forms, sounds, smells, tastes and tangibles. Itranges from subtle liking to powerful lust. The hindrance of ill will (byapada) signifiesaversion directed towards disagreeable persons or things. It can vary in range from mildannoyance to overpowering hatred. Thus the first two hindrances correspond to the firsttwo root defilements, greed and hate. The third root defilement, delusion, is notenumerated separately among the hindrances but can be found underlying the remainingthree.

Sloth and torpor is a compound hindrance made up of two components: sloth (thina),which is dullness, inertia or mental stiffness; and torpor (middha), which is indolence ordrowsiness. Restlessness and worry is another double hindrance, restlessness (uddhacca)being explained as excitement, agitation or disquietude, worry (kukkucca) as the sense ofguilt aroused by moral transgressions. Finally, the hindrance of doubt (vicikiccha) isexplained as uncertainty with regard to the Buddha, the Dhamma, the Sangha and thetraining.

The Buddha offers two sets of similes to illustrate the detrimental effect of the hindrances.The first compares the five hindrances to five types of calamity: sensual desire is like adebt, ill will like a disease, sloth and torpor like imprisonment, restless and worry likeslavery, and doubt like being lost on a desert road. Release from the hindrances is to beseen as freedom from debt, good health, release from prison, emancipation from slavery,and arriving at a place of safety (D.i,71-73). The second set of similes compares thehindrances to five kinds of impurities affecting a bowl of water, preventing a keen-sightedman from seeing his own reflection as it really is. Sensual desire is like a bowl of watermixed with brightly colored paints, ill will like a bowl of boiling water, sloth and torpor likewater covered by mossy plants, restlessness and worry like water blown into ripples bythe wind, and doubt like muddy water. Just as the keen-eyed man would not be able tosee his reflection in these five kinds of water, so one whose mind is obsessed by the fivehindrances does not know and see as it is his own good, the good of others or the good ofboth (S.v,121-24). Although there are numerous defilements opposed to the first jhanathe five hindrances alone are called its factors of abandoning. One reason according to theVisuddhimagga, is that the hindrances are specifically obstructive to jhana, eachhindrance impeding in its own way the mind's capacity for concentration.

The mind affected through lust by greed for varied objective fields does not becomeconcentrated on an object consisting in unity, or being overwhelmed by lust, it doesnot enter on the way to abandoning the sense-desire element. When pestered by illwill towards an object, it does not occur uninterruptedly. When overcome bystiffness and torpor, it is unwieldy. When seized by agitation and worry, it is unquietand buzzes about. When stricken by uncertainty, it fails to mount the way toaccomplish the attainment of jhana. So it is these only that are called factors of

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abandonment because they are specifically obstructive to jhana.(Vism.146: PP.152)

A second reason for confining the first jhana's factors of abandoning to the five hindrancesis to permit a direct alignment to be made between the hindrances and the jhanic factors.Buddhaghosa states that the abandonment of the five hindrances alone is mentioned inconnection with jhana because the hindrances are the direct enemies of the five jhanafactors, which the latter must eliminate and abolish. To support his point the commentatorcites a passage demonstrating a one-to-one correspondence between the jhana factorsand the hindrances: one-pointedness is opposed to sensual desire, rapture to ill will,applied thought to sloth and torpor, happiness to restlessness and worry, and sustainedthought to doubt (Vism. 141; PP.147).[8] Thus each jhana factor is seen as having thespecific task of eliminating a particular obstruction to the jhana and to correlate theseobstructions with the five jhana factors they are collected into a scheme of fivehindrances.

The standard passage describing the attainment of the first jhana says that the jhana isentered upon by one who is "secluded from sense pleasures, secluded from unwholesomestates of mind." The Visuddhimagga explains that there are three kinds of seclusionrelevant to the present context — namely, bodily seclusion (kayaviveka), mental seclusion(cittaviveka), and seclusion by suppression (vikkhambhanaviveka) (Vism. 140; PP.145).These three terms allude to two distinct sets of exegetical categories. The first two belongto a threefold arrangement made up of bodily seclusion, mental seclusion, and "seclusionfrom the substance" (upadhiviveka). The first means physical withdrawal from activesocial engagement into a condition of solitude for the purpose of devoting time andenergy to spiritual development. The second, which generally presupposes the first,means the seclusion of the mind from its entanglement in defilements; it is in effectequivalent to concentration of at least the access level. The third, "seclusion from thesubstance," is Nibbana, liberation from the elements of phenomenal existence. Theachievement of the first jhana does not depend on the third, which is its outcome ratherthan prerequisite, but it does require physical solitude and the separation of the mindfrom defilements, hence bodily and mental seclusion. The third type of seclusion pertinentto the context, seclusion by suppression, belongs to a different scheme generallydiscussed under the heading of "abandonment" (pahana) rather than "seclusion." Thetype of abandonment required for the attainment of jhana is abandonment bysuppression, which means the removal of the hindrances by force of concentration similarto the pressing down of weeds in a pond by means of a porous pot.[9]

The work of overcoming the five hindrances is accomplished through the gradual training(anupubbasikkha) which the Buddha has laid down so often in the suttas, such as theSamaññaphala Sutta and the Culahatthipadopama Sutta. The gradual training is astep-by-step process designed to lead the practitioner gradually to liberation. The trainingbegins with moral discipline, the undertaking and observance of specific rules of conductwhich enable the disciple to control the coarser modes of bodily and verbal misconductthrough which the hindrances find an outlet. With moral discipline as a basis, the disciplepractices the restraint of the senses. He does not seize upon the general appearances ofthe beguiling features of things, but guards and masters his sense faculties so thatsensual attractive and repugnant objects no longer become grounds for desire andaversion. Then, endowed with the self-restraint, he develops mindfulness and discernment(sati-sampajañña) in all his activities and postures, examining everything he does with

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clear awareness as to its purpose and suitability. He also cultivates contentment with aminimum of robes, food, shelter and other requisites.

Once he has fulfilled these preliminaries the disciple is prepared to go into solitude todevelop the jhanas, and it is here that he directly confronts the five hindrances. Theelimination of the hindrances requires that the meditator honestly appraises his own mind.When sensuality, ill will and the other hindrances are present, he must recognize that theyare present and he must investigate the conditions that lead to their arising: the latter hemust scrupulously avoid. The meditator must also understand the appropriate antidotesfor each of the five hindrances. The Buddha says that all the hindrances arise throughunwise consideration (ayoniso manasikara) and that they can be eliminated by wiseconsideration (yoniso manasikara). Each hindrance, however, has its own specificantidote. Thus wise consideration of the repulsive feature of things is the antidote tosensual desire; wise consideration of loving-kindness counteracts ill will; wiseconsideration of the elements of effort, exertion and striving opposes sloth and torpor;wise consideration of tranquillity of mind removes restlessness and worry; and wiseconsideration of the real qualities of things eliminates doubt (S.v,105-106).

Having given up covetousness [i.e., sensual desire] with regard to the world, hedwells with a heart free of covetousness; he cleanses his mind from covetousness.Having given up the blemish of ill will, he dwells without ill will; friendly andcompassionate towards all living beings, he cleanses his mind from the blemishes ofill will. Having given up sloth and torpor, he dwells free from sloth and torpor, in theperception of light; mindful and clearly comprehending, he cleanses his mind fromsloth and torpor. Having given up restlessness and worry, he dwells withoutrestlessness; his mind being calmed within, he cleanses it from restlessness andworry. Having given up doubt, he dwells as one who has passed beyond doubt;being free from uncertainty about wholesome things, he cleanses his mind fromdoubt...

And when he sees himself free of these five hindrances, joy arises; in him who isjoyful, rapture arises; in him whose mind is enraptured, the body is stilled; the bodybeing stilled, he feels happiness; and a happy mind finds concentration. Then, quitesecluded from sense pleasures, secluded from unwholesome states of mind, heenters and dwells in the first jhana, which is accompanied by applied thought andsustained thought, with rapture and happiness born of seclusion. (D.i,73-74)[10]

The Factors of the First Jhana

The first jhana possesses five component factors: applied thought, sustained thought,rapture, happiness and one-pointedness of mind. Four of these are explicitly mentioned inthe formula for the jhana; the fifth, one-pointedness, is mentioned elsewhere in the suttasbut is already suggested by the notion of jhana itself. These five states receive theirname, first because they lead the mind from the level of ordinary consciousness to thejhanic level, and second because they constitute the first jhana and give it its distinctdefinition.

The jhana factors are first aroused by the meditator's initial efforts to concentrate upon

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one of the prescribed objects for developing jhana. As he fixes his mind on the preliminaryobject, such as a kasina disk, a point is eventually reached where he can perceive theobject as clearly with his eyes closed as with them open. This visualized object is calledthe learning sign (uggahanimitta). As he concentrates on the learning sign, his efforts callinto play the embryonic jhana factors, which grow in force, duration and prominence as aresult of the meditative exertion. These factors, being incompatible with the hindrances,attenuate them, exclude them, and hold them at bay. With continued practice the learningsign gives rise to a purified luminous replica of itself called the counterpart sign(patibhaganimitta), the manifestation of which marks the complete suppression of thehindrances and the attainment of access concentration (upacarasamadhi). All three events— the suppression of the hindrances, the arising of the counterpart sign, and theattainment of access concentration — take place at precisely the same moment, withoutinterval (Vism. 126; PP.131). And though previously the process of mental cultivation mayhave required the elimination of different hindrances at different times, when access isachieved they all subside together:

Simultaneously with his acquiring the counterpart sign his lust is abandoned bysuppression owing to his giving no attention externally to sense desires (as object).And owing to his abandoning of approval, ill will is abandoned too, as pus is with theabandoning of blood. Likewise stiffness and torpor is abandoned through exertion ofenergy, agitation and worry is abandoned through devotion to peaceful things thatcause no remorse; and uncertainty about the Master who teaches the way, aboutthe way, and about the fruit of the way, about the way, and about the fruit of theway, is abandoned through the actual experience of the distinction attained. So thefive hindrances are abandoned. (Vism. 189; PP.196)

Though the mental factors determinative of the first jhana are present in accessconcentration, they do not as yet possess sufficient strength to constitute the jhana, butare strong enough only to exclude the hindrances. With continued practice, however, thenascent jhana factors grow in strength until they are capable of issuing in jhana. Becauseof the instrumental role these factors play both in the attainment and constitution of thefirst jhana they are deserving of closer individual scrutiny.

APPLIED THOUGHT (VITAKKA)

The word vitakka frequently appears in the texts in conjunction with the word vicara. Thepair signify two interconnected but distinct aspects of the thought process, and to bringout the difference between them (as well as their common character), we translate theone as applied thought and the other as sustained thought.

In both the suttas and the Abhidhamma applied thought is defined as the application ofthe mind to its object (cetaso abhiniropana), a function which the Atthasalini illustratesthus: "Just as someone ascends the king's palace in dependence on a relative of frienddear to the king, so the mind ascends the object in dependence on applied thought"(Dhs.A.157). This function of applying the mind to the object is common to the widevariety of modes in which the mental factor of applied thought occurs, ranging from sensediscrimination to imagination, reasoning and deliberation and to the practice ofconcentration culminating in the first jhana. Applied thought can be unwholesome as inthoughts of sensual pleasure, ill will and cruelty, or wholesome as in thoughts of

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renunciation, benevolence and compassion (M.i,116).

In jhana applied through is invariably wholesome and its function of directing the mindupon its object stands forth with special clarity. To convey this the Visuddhimaggaexplains that in jhana the function of applied thought is "to strike at and thresh — for themeditator is said, in virtue of it, to have the object struck at by applied thought, threshedby applied thought" (Vism.142;PP148). The Milindapanha makes the same point bydefining applied thought as absorption (appana): "Just as a carpenter drives awell-fashioned piece of wood into a joint, so applied thought has the characteristic ofabsorption" (Miln.62).

The object of jhana into which vitakka drives the mind and its concomitant states is thecounterpart sign, which emerges from the learning sign as the hindrances are suppressedand the mind enters access concentration. The Visuddhimagga explains the differencebetween the two signs thus:

In the learning sign any fault in the kasina is apparent. But the counterpart signappears as if breaking out from the learning sign, and a hundred times, a thousandtimes more purified, like a looking-glass disk drawn from its case, like a mother-of-pearl dish well washed, like the moon's disk coming out from behind a cloud, likecranes against a thunder cloud. But it has neither color nor shape; for if it had, itwould be cognizable by the eye, gross, susceptible of comprehension (by insight)and stamped with the three characteristics. But it is not like that. For it is born onlyof perception in one who has obtained concentration, being a mere mode ofappearance (Vism. 125-26; PP.130)

The counterpart sign is the object of both access concentration and jhana, which differneither in their object nor in the removal of the hindrances but in the strength of theirrespective jhana factors. In the former the factors are still weak, not yet fully developed,while in the jhana they are strong enough to make the mind fully absorbed in the object.In this process applied thought is the factor primarily responsible for directing the mindtowards the counterpart sign and thrusting it in with the force of full absorption.

SUSTAINED THOUGHT (VICARA)

Vicara seems to represent a more developed phase of the thought process than vitakka.The commentaries explain that it has the characteristic of "continued pressure" on theobject (Vim. 142; PP.148). Applied thought is described as the first impact of the mind onthe object, the gross inceptive phase of thought; sustained thought is described as the actof anchoring the mind on the object, the subtle phase of continued mental pressure.Buddhaghosa illustrates the difference between the two with a series of similes. Appliedthought is like striking a bell, sustained thought like the ringing; applied thought is like abee's flying towards a flower, sustained thought like its buzzing around the flower; appliedthought is like a compass pin that stays fixed to the center of a circle, sustained thoughtlike the pin that revolves around (Vism. 142-43; PP.148-49).

These similes make it clear that applied thought and sustained thought functionallyassociated, perform different tasks. Applied thought brings the mind to the object,sustained thought fixes and anchors it there. Applied thought focuses the mind on the

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object, sustained thought examines and inspects what is focused on. Applied thoughtbrings a deepening of concentration by again and again leading the mind back to thesame object, sustained thought sustains the concentration achieved by keeping the mindanchored on that object.

RAPTURE (PITI)

The third factor present in the first jhana is piti, usually translated as joy or rapture.[11] Inthe suttas piti is sometimes said to arise from another quality called pamojja, translatedas joy or gladness, which springs up with the abandonment of the five hindrances. Whenthe disciple sees the five hindrances abandoned in himself "gladness arises within him;thus gladdened, rapture arises in him; and when he is rapturous his body becomestranquil" (D.i,73). Tranquillity in turn leads to happiness, on the basis of which the mindbecomes concentrated. Thus rapture precedes the actual arising of the first jhana, butpersists through the remaining stages up to the third jhana.

The Vibhanga defines piti as "gladness, joy, joyfulness, mirth, merriment, exultation,exhilaration, and satisfaction of mind" (Vbh. 257). The commentaries ascribe to it thecharacteristic of endearing, the function of refreshing the body and mind or pervadingwith rapture, and the manifestation as elation (Vism.143; PP.149). Shwe Zan Aungexplains that "piti abstracted means interest of varying degrees of intensity, in an objectfelt as desirable or as calculated to bring happiness."[12]

When defined in terms of agency, piti is that which creates interest in the object; whendefined in terms of its nature it is the interest in the object. Because it creates a positiveinterest in the object, the jhana factor of rapture is able to counter and suppress thehindrance of ill will, a state of aversion implying a negative evaluation of the object.

Rapture is graded into five categories: minor rapture, momentary rapture, showeringrapture, uplifting rapture and pervading rapture.[13] Minor rapture is generally the first toappear in the progressive development of meditation; it is capable of causing the hairs ofthe body to rise. Momentary rapture, which is like lightning, comes next but cannot besustained for long. Showering rapture runs through the body in waves, producing a thrillbut without leaving a lasting impact. Uplifting rapture, which can cause levitation, is moresustained but still tends to disturb concentration, The form of rapture most conductive tothe attainment of jhana is all-pervading rapture, which is said to suffuse the whole bodyso that it becomes like a full bladder or like a mountain cavern inundated with a mightyflood of water. The Visuddhimagga states that what is intended by the jhana factor ofrapture is this all-pervading rapture "which is the root of absorption and comes by growthinto association with absorption" (Vism.144; PP.151)

HAPPINESS (SUKHA)

As a factor of the first jhana, sukha signifies pleasant feeling. The word is explicitlydefined in the sense by the Vibhanga in its analysis of the first jhana: "Therein, what ishappiness? Mental pleasure and happiness born of mind-contact, the felt pleasure andhappiness born of mind-contact, pleasurable and happy feeling born of mind contact —this is called 'happiness' " (Vbh.257). The Visuddhimagga explains that happiness in thefirst jhana has the characteristic of gratifying, the function of intensifying associated

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states, and as manifestation, the rendering of aid to its associated states (Vism. 145;PP.151).

Rapture and happiness link together in a very close relationship, but though the two aredifficult to distinguish, they are not identical. Happiness is a feeling (vedana); rapture amental formation (sankhara). Happiness always accompanies rapture, so that whenrapture is present happiness must always be present; but rapture does not alwaysaccompany happiness, for in the third jhana, as we will see, there is happiness but norapture. The Atthasalini, which explains rapture as "delight in the attaining of the desiredobject" and happiness as "the enjoyment of the taste of what is acquired," illustrates thedifference by means of a simile:

Rapture is like a weary traveler in the desert in summer, who hears of, or sees waterof a shady wood. Ease [happiness] is like his enjoying the water of entering theforest shade. For a man who, traveling along the path through a great desert andovercome by the heat, is thirsty and desirous of drink, if he saw a man on the way,would ask 'Where is water?' The other would say, 'Beyond the wood is a dense forestwith a natural lake. Go there, and you will get some.' He, hearing these words,would be glad and delighted and as he went would see lotus leaves, etc., fallen onthe ground and become more glad and delighted. Going onwards, he would see menwith wet clothes and hair, hear the sounds of wild fowl and pea-fowl, etc., see thedense forest of green like a net of jewels growing by the edge of the natural lake, hewould see the water lily, the lotus, the white lily, etc., growing in the lake, he wouldsee the clear transparent water, he would be all the more glad and delighted, woulddescend into the natural lake, bathe and drink at pleasure and, his oppression beingallayed, he would eat the fibers and stalks of the lilies, adorn himself with the bluelotus, carry on his shoulders the roots of the mandalaka, ascend from the lake, puton his clothes, dry the bathing cloth in the sun, and in the cool shade where thebreeze blew ever so gently lay himself down and saw: 'O bliss! O bliss!' Thus shouldthis illustration be applied. The time of gladness and delight from when he heard ofthe natural lake and the dense forest till he saw the water is like rapture having themanner of gladness and delight at the object in view. The time when, after his bathand dried he laid himself down in the cool shade, saying, 'O bliss! O bliss!' etc., isthe sense of ease [happiness] grown strong, established in that mode of enjoyingthe taste of the object.[14]

Since rapture and happiness co-exist in the first jhana, this simile should not be taken toimply that they are mutually exclusive. Its purport is to suggest that rapture gainsprominence before happiness, for which it helps provide a causal foundation.

In the description of the first jhana, rapture and happiness are said to be "born ofseclusion" and to suffuse the whole body of the meditator in such a way that there is nopart of his body which remains unaffected by them:

Monks, secluded from sense pleasure... a monk enters and dwells in the first jhana.He steeps, drenches, fills and suffuses his body with the rapture and happiness bornof seclusion, so that there is no part of his entire body that is not suffused with thisrapture and happiness. Just as a skilled bath-attendant or his apprentice might strewbathing powder in a copper basin, sprinkle it again and again with water, and knead

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it together so that the mass of bathing soap would be pervaded, suffused, andsaturated with moisture inside and out yet would not ooze moisture, so a monksteeps, drenches, fills and suffuses his body with the rapture and happiness born ofseclusion, so that, there is no part of his entire body that is not suffused with thisrapture and happiness born of seclusion. (D.i,74)

ONE-POINTEDNESS (EKAGGATA)

Unlike the previous four jhana factors, one-pointedness is not specifically mentioned inthe standard formula for the first jhana, but it is included among the jhana factors by theMahavedalla Sutta (M.i,294) as well as in the Abhidhamma and the commentaries.One-pointedness is a universal mental concomitant, the factor by virtue of which the mindis centered upon its object. It brings the mind to a single point, the point occupied by theobject.

One-pointedness is used in the text as a synonym for concentration (samadhi) which hasthe characteristic of non-distraction, the function of eliminating distractions, non-waveringas its manifestation, and happiness as its proximate cause (Vism.85; PP.85). As a jhanafactor one-pointedness is always directed to a wholesome object and wards offunwholesome influences, in particular the hindrance of sensual desire. As the hindrancesare absent in jhana one-pointedness acquires special strength, based on the previoussustained effort of concentration.

Besides the five jhana factors, the first jhana contains a great number of other mentalfactors functioning in unison as coordinate members of a single state of consciousness.Already the Anupada Sutta lists such additional components of the first jhana as contact,feeling, perception, volition, consciousness, desire, decision, energy, mindfulness,equanimity and attention (M.iii,25). In the Abhidhamma literature this is extended stillfurther up to thirty-three indispensable components. Nevertheless, only five states arecalled the factors of the first jhana, for only these have the functions of inhibiting the fivehindrances and fixing the mind in absorption. For the jhana to arise all these five factorsmust be present simultaneously, exercising their special operations:

But applied thought directs the mind onto the object; sustained thought keeps itanchored there. Happiness [rapture] produced by the success of the effort refreshesthe mind whose effort has succeeded through not being distracted by thosehindrances; and bliss [happiness] intensifies it for the same reason. Then unificationaided by this directing onto, this anchoring, this refreshing and this intensifying,evenly and rightly centers the mind with its remaining associated states on theobject consisting in unity. Consequently possession of five factors should beunderstood as the arising of these five, namely, applied thought, sustained thought,happiness [rapture], bliss [happiness], and unification of mind. For it is when theseare arisen that jhana is said to be arisen, which is why they are called the fivefactors of possession. (Vism.146;PP.152)

Each jhana factor serves as support for the one which succeeds it. Applied thought mustdirect the mind to its object in order for sustained thought to anchor it there. Only whenthe mind is anchored can the interest develop which will culminate in rapture. As rapturedevelops it brings happiness to maturity, and this spiritual happiness, by providing an

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alternative to the fickle pleasures of the senses, aids the growth of one-pointedness. Inthis way, as Nagasena explains, all the other wholesome states lead to concentration,which stands at their head like the apex on the roof of a house (Miln. 38-39).

Perfecting the First Jhana

The difference between access and absorption concentration, as we have said, does not liein the absence of the hindrances, which is common to both, but in the relative strength ofthe jhana factors. In access the factors are weak so that concentration is fragile,comparable to a child who walks a few steps and then falls down. But in absorption thejhana factors are strong and well developed so that the mind can remain continuously inconcentration just as a healthy man can remain standing on his feet for a whole day andnight (Vism.126; PP.131).

Because full absorption offers the benefit of strengthened concentration, a meditator whogains access is encouraged to strive for the attainment of jhana. To develop his practiceseveral important measures are recommended.[15] The meditator should live in a suitabledwelling, rely upon a suitable alms resort, avoid profitless talk, associate only withspiritually-minded companions, make use only of suitable food, live in a congenial climate,and maintain his practice in a suitable posture. He should also cultivate the ten kinds ofskill in absorption. He should clean his lodging and his physical body so that they conduceto clear meditation, balance his spiritual faculties by seeing that faith is balanced withwisdom and energy with concentration, and he must be skillful in producing anddeveloping the sign of concentration (1-3). He should exert the mind when it is slack,restrain it when it is agitated, encourage it when it is restless or dejected, and look at themind with equanimity when all is proceeding well (4-7). The meditator should avoiddistracting persons, should approach people experienced in concentration, and should befirm in his resolution to attain jhana (8-10).

After attaining the first jhana a few times the meditator is not advised to set outimmediately striving for the second jhana. This would be a foolish and profitless spiritualambition. Before he is prepared to make the second jhana the goal of his endeavor hemust first bring the first jhana to perfection. If he is too eager to reach the second jhanabefore he has perfected the first, he is likely to fail to gain the second and find himselfunable to regain the first. The Buddha compares such a meditator to a foolish cow who,while still unfamiliar with her own pasture, sets out for new pastures and gets lost in themountains: she fails to find food or drink and is unable to find her way home (A.iv,418-19).

The perfecting of the first jhana involves two steps: the extension of the sign and theachievement of the five masteries. The extension of the sign means extending the size ofthe counterpart sign, the object of the jhana. Beginning with a small area, the size of oneor two fingers, the meditator gradually learns to broaden the sign until the mental imagecan be made to cover the world-sphere or even beyond (Vism. 152-53; PP.158-59).

Following this the meditator should try to acquire five kinds of mastery over the jhana:mastery in adverting, in attaining, in resolving, in emerging and in reviewing.[16] Masteryin adverting is the ability to advert to the jhana factors one by one after emerging from

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the jhana, wherever he wants, whenever he wants, and for as long as he wants. Masteryin attaining is the ability to enter upon jhana quickly, mastery in resolving the ability toremain in the jhana for exactly the pre-determined length of time, mastery in emergingthe ability to emerge from jhana quickly without difficulty, and mastery in reviewing theability to review the jhana and its factors with retrospective knowledge immediately afteradverting to them. When the meditator has achieved this fivefold mastery, then he isready to strive for the second jhana.

4. The Higher JhanasIn this chapter we will survey the higher states of jhana. First we will discuss theremaining three jhanas of the fine-material sphere, using the descriptive formulas of thesuttas as our starting point and the later literature as our source for the methods ofpractice that lead to these attainments. Following this we will consider the four meditativestates that pertain to the immaterial sphere, which come to be called the immaterialjhanas. Our examination will bring out the dynamic character of the process by which thejhanas are successively achieved. The attainment of the higher jhanas of the fine-materialsphere, we will see, involves the successive elimination of the grosser factors and thebringing to prominence of the subtler ones, the attainment of the formless jhanas thereplacement of grosser objects with successively more refined objects. From our study itwill become clear that the jhanas link together in a graded sequence of development inwhich the lower serves as basis for the higher and the higher intensifies and purifiesstates already present in the lower. We will end the chapter with a brief look at theconnection between the jhanas and the Buddhist teaching of rebirth.

The Higher Fine-material Jhanas

The formula for the attainment of the second jhana runs as follows:

With the subsiding of applied thought and sustained thought he enters and dwells inthe second jhana, which has internal confidence and unification of mind, is withoutapplied thought and sustained thought, and is filled with rapture and happiness bornof concentration (M.i,181; Vbh. 245)

The second jhana, like the first, is attained by eliminating the factors to be abandoned andby developing the factors of possession. In this case however, the factors to beabandoned are the two initial factors of the first jhana itself, applied thought andsustained thought; the factors of possession are the three remaining jhana factors,rapture, happiness and one-pointedness. Hence the formula begins "with the subsiding ofapplied thought and sustained thought," and then mentions the jhana's positiveendowments.

After achieving the five kinds of mastery over the first jhana, a meditator who wishes to

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reach the second jhana should enter the first jhana and contemplate its defects. These aretwofold: one, which might be called the defect of proximate corruption, is the nearness ofthe five hindrances, against which the first jhana provides only a relatively mildsafeguard; the other defect, inherent to the first jhana, is its inclusion of applied andsustained thought, which now appear as gross, even as impediments needing to beeliminated to attain the more peaceful and subtle second jhana.

By reflecting upon the second jhana as more tranquil and sublime than the first, themeditator ends his attachment to the first jhana and engages in renewed striving with theaim of reaching the higher stage. He directs his mind to his meditation subject — whichmust be one capable of inducing the higher jhanas such as a kasina or the breath — andresolves to overcome applied and sustained thought. When his practice comes to maturitythe two kinds of thought subside and the second jhana arises. In the second jhana onlythree of the original five jhana factors remain — rapture, happiness, and one-pointedness.Moreover, with the elimination of the two grosser factors these have acquired a subtlerand more peaceful tone.[17]

Besides the main jhana factors, the canonical formula includes several other states in itsdescription of the second jhana. "Internal confidence" (ajjhattamsampasadanam),conveys the twofold meaning of faith and tranquillity. In the first jhana the meditator'sfaith lacked full clarity and serenity due to "the disturbance created by applied andsustained thought, like water ruffled by ripples and wavelets" (Vism. 157; PP.163). Butwhen applied and sustained thought subside, the mind becomes very peaceful and themeditator's faith acquires fuller confidence.

The formula also mentions unification of mind (cetaso ekodibhavam), which is identifiedwith one-pointedness or concentration. Though present in the first jhana, concentrationonly gains special mention in connection with the second jhana since it is here that itacquires eminence. In the first jhana concentration was still imperfect, being subject tothe disturbing influence of applied and sustained thought. For the same reason this jhana,along with its constituent rapture and happiness, is said to be born of concentration(samadhijam): "It is only this concentration that is quite worthy to be called'concentration' because of its complete confidence and extreme immobility due to absenceof disturbance by applied and sustained thought" (Vism.158; PP.164).

To attain the third jhana the meditator must use the same method he used to ascendfrom the first jhana to the second. He must master the second jhana in the five ways,enter and emerge from it, and reflect upon its defects. In this case the defect ofproximate corruption is the nearness of applied and sustained thought, which threaten todisrupt the serenity of the second jhana; its inherent defect is the presence of rapture,which now appears as a gross factor that should be discarded. Aware of the imperfectionsin the second jhana, the meditator cultivates indifference towards it and aspires insteadfor the peace and sublimity of the third jhana, towards the attainment of which he nowdirects his efforts. When his practice matures he enters the third jhana, which has the twojhana factors that remain when the rapture disappears, happiness and one-pointedness,and which the suttas describe as follows:

With the fading away of rapture, he dwells in equanimity, mindful and discerning; and heexperiences in his own person that happiness of which the noble ones say: 'Happily lives

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he who is equanimous and mindful' — thus he enters and dwells in the third jhana.(M.i,182; Vbh.245)

The formula indicates that the third jhana contains, besides its two defining factors, threeadditional components not included among the jhana factors: equanimity, mindfulnessand discernment. Equanimity is mentioned twice. The Pali word for equanimity, upekkha,occurs in the texts with a wide range of meanings, the most important being neutralfeeling — that is, feeling which is neither painful nor pleasant — and the mental quality ofinner balance or equipoise called "specific neutrality" (tatramajjhattata — see Vism.161;PP.167). The equanimity referred to in the formula is a mode of specific neutrality whichbelongs to the aggregate of mental formations (sankharakkhandha) and thus should notbe confused with equanimity as neutral feeling. Though the two are often associated, eachcan exist independently of the other, and in the third jhana equanimity as specificneutrality co-exists with happiness or pleasant feeling.

The meditator in third jhana is also said to be mindful and discerning, which points toanother pair of frequently conjoined mental functions. Mindfulness (sati), in this context,means the remembrance of the meditation object, the constant bearing of the object inmind without allowing it to float away. Discernment (sampajañña) is an aspect of wisdomor understanding which scrutinizes the object and grasps its nature free from delusion.Though these two factors were already present even in the first two jhanas, they are firstmentioned only in connection with the third since it is here that their efficacy becomesmanifest. The two are needed particularly to avoid a return to rapture. Just as a sucklingcalf, removed from its mother and left unguarded, again approaches the mother, so thehappiness of jhana tends to veer towards rapture, its natural partner, if unguarded bymindfulness and discernment (Dhs. A.219). To prevent this and the consequent loss of thethird jhana is the task of mindfulness and discernment.

The attainment of the fourth jhana commences with the aforesaid procedure. In this casethe meditator sees that the third jhana is threatened by the proximity of rapture, which isever ready to swell up again due to its natural affinity with happiness; he also sees that itis inherently defective due to the presence of happiness, a gross factor which providesfuel for clinging. He then contemplates the state where equanimous feeling andone-pointedness subsist together — the fourth jhana — as far more peaceful and securethan anything he has so far experienced, and therefore as far more desirable. Taking ashis object the same counterpart sign he took for the earlier jhana, he strengthens hisefforts in concentration for the purpose of abandoning the gross factor of happiness andentering the higher jhana. When his practice matures the mind enters absorption into thefourth jhana:

With the abandoning of pleasure and pain, and with the previous disappearance ofjoy and grief, he enters and dwells in the fourth jhana, which has neither-pain-nor-pleasure and has purity of mindfulness due to equanimity. (M.i,182; Vbh.245)

The first part of this formula specifies the conditions for the attainment of this jhana —also called the neither-painful-nor-pleasant liberation of mind (M.i, 296) — to be theabandoning of four kinds of feeling incompatible with it, the first two signifying bodilyfeelings, the latter two the corresponding mental feelings. The formula also introducesseveral new terms and phrases which have not been encountered previously. First, it

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mentions a new feeling, neither-pain-nor-pleasure (adukkhamasukha), which remainsafter the other four feelings have subsided. This kind of feeling also called equanimous orneutral feeling, replaces happiness as the concomitant feeling of the jhana and alsofigures as one of the jhana factors. Thus this attainment has two jhana factors: neutralfeeling and one-pointedness of mind. Previously the ascent from one jhana to the nextwas marked by the progressive elimination of the coarser jhana factors, but none wereadded to replace those which were excluded. But now, in the move from the third to thefourth jhana, a substitution occurs, neutral feeling moving in to take the place ofhappiness.

In addition we also find a new phrase composed of familiar terms, "purity of mindfulnessdue to equanimity" (upekkhasatiparisuddhi). The Vibhanga explains: "This mindfulness iscleared, purified, clarified by equanimity" (Vbh. 261), and Buddhaghosa adds: "for themindfulness in this jhana is quite purified, and its purification is effected by equanimity,not by anything else" (Vism.167; PP.174). The equanimity which purifies the mindfulnessis not neutral feeling, as might be supposed, but specific neutrality, the sublimeimpartiality free from attachment and aversion, which also pertains to this jhana. Thoughboth specific neutrality and mindfulness were present in the lower three jhanas, noneamong these is said to have "purity of mindfulness due to equanimity." The reason is thatin the lower jhanas the equanimity present was not purified itself, being overshadowed byopposing states and lacking association with equanimous feeling. It is like a crescentmoon which exists by day but cannot be seen because of the sunlight and the bright sky.But in the fourth jhana, where equanimity gains the support of equanimous feeling, itshines forth like the crescent moon at night and purifies mindfulness and the otherassociated states (Vism. 169; PP.175).

The Immaterial Jhanas

Beyond the four jhanas lie four higher attainments in the scale of concentration, referredto in the suttas as the "peaceful immaterial liberations transcending material form" (santavimokkha atikammarupe aruppa, M.i,33). In the commentaries they are also called theimmaterial jhanas, and while this expression is not found in the suttas it seemsappropriate in so far as these states correspond to jhanic levels of consciousness andcontinue the same process of mental unification initiated by the original four jhanas, nowsometimes called the fine-material jhanas. The immaterial jhanas are designated, not bynumerical names like their predecessors, but by the names of their objective spheres: thebase of boundless space, the base of boundless consciousness, the base of nothingness,and the base of neither-perception-nor-non-perception.[18] They receive the designation"immaterial" or " formless" (arupa) because they are achieved by surmounting allperceptions of material form, including the subtle form of the counterpart sign whichserved as the object of the previous jhanas, and because they are the subjectivecorrelates of the immaterial planes of existence.

Like the fine-material jhanas follow a fixed sequence and must be attained in the order inwhich they are presented. That is, the meditator who wishes to achieve the immaterialjhanas must begin with the base of boundless space and then proceed step by step up tothe base of neither-perception-nor-non-perception. However, an important differenceseparates the modes of progress in the two cases. In the case of the fine-material jhanas,

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the ascent from one jhana to another involves a surmounting of jhana factors. To risefrom the first jhana to the second the meditator must eliminate applied thought andsustained thought, to rise from the second to the third he must overcome rapture, and torise from the third to the fourth he must replace pleasant with neutral feeling. Thusprogress involves a reduction and refinement of the jhana factors, from the initial five tothe culmination in one-pointedness and neutral feeling.

Once the fourth jhana is reached the jhana factors remain constant, and in higher ascentto the immaterial attainments there is no further elimination of jhana factors. For thisreason the formless jhanas, when classified from the perspective of their factorialconstitution as is done in the Abhidhamma, are considered modes of the fourth jhana.They are all two-factored jhanas, constituted by one-pointedness and equanimous feeling.

Rather than being determined by a surmounting of factors, the order of the immaterialjhanas is determined by a surmounting of objects. Whereas for the lower jhanas theobject can remain constant but the factors must be changed, for the immaterial jhanasthe factors remain constant while the objects change. The base of boundless spaceeliminates the kasina object of the fourth jhana, the base of boundless consciousnesssurmounts the object of the base of boundless space, the base of nothingness surmountsthe object of base of boundless consciousness, and the base of neither-perception-nor-non-perception surmounts the objects the object of the base of nothingness.

Because the objects become progressively more subtle at each level, the jhana factors ofequanimous feeling and one-pointedness, while remaining constant in nature throughout,become correspondingly more refined in quality. Buddhaghosa illustrates this with a simileof four pieces of cloth of the same measurements, spun by the same person, yet made ofthick, thin, thinner and very thin thread respectively (Vism. 339; PP.369). Also, whereasthe four lower jhanas can each take a variety of objects — the ten kasinas, the in-and-outbreath, etc. — and do not stand in any integral relation to these objects, the fourimmaterial jhanas each take a single object inseparably related to the attainment itself.The first is attained solely with the base of boundless space as object, the second with thebase of boundless consciousness, and so forth.

The motivation which initially leads a meditator to seek the immaterial attainments is aclear recognition of the dangers inherent in material existence: it is in virtue of matterthat injuries and death by weapons and knives occur that one is afflicted with diseases,subject of hunger and thirst, while none of this takes place on the immaterial planes ofexistence (M.i,410). Wishing to escape these dangers by taking rebirth in the immaterialplanes, the meditator must first attain the four fine-material jhanas and master the fourthjhana with any kasina as object except the omitted space kasina. By this much themeditator has risen above gross matter, but he still has not transcended the subtlematerial form comprised by the luminous counterpart sign which is the object of his jhana.To reach the formless attainments the meditator, after emerging from the fourth jhana,must consider that even that jhana, as refined as it is, still has an object consisting inmaterial form and thus is distantly connected with gross matter; moreover, it is close tohappiness, a factor of the third jhana, and is far coarser than the immaterial states. Themeditator sees the base of boundless space, the first immaterial jhana, as more peacefuland sublime than the fourth fine-material jhana and as more safely removed frommateriality.

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Following these preparatory reflections, the meditator enters the fourth jhana based on akasina object and extends the counterpart sign of the kasina "to the limit of the world-sphere, or as far as he likes." Then, after emerging from the fourth jhana, he mustremove the kasina by attending exclusively to the space it has been made to coverwithout attending to the kasina itself. Taking as his object the space left after the removalof the kasina, the meditator adverts to it as "boundless space" or simply as "space,space," striking at it with applied and sustained thought. As he cultivates this practiceover and over, eventually the consciousness pertaining to the base of boundless spacearises with boundless space as its object (Vism. 327-28; PP.355-56).

A meditator who has gained mastery over the base of boundless space, wishing to attainas well the second immaterial jhana, must reflect upon the two defects of the firstattainment which are its proximity to the fine-material jhanas and its grossness comparedto the base of boundless consciousness. Having in this way developed indifferent to thelower attainment, he must next enter and emerge from the base of boundless space andthen fix his attention upon the consciousness that occurred there pervading the boundlessspace. Since the space taken as the object by the first formless jhana was boundless, theconsciousness of that space also involves an aspect of boundlessness, and it is to thisboundless consciousness that the aspirant for the next attainment adverts. He is not toattend to it merely as boundless, but as "boundless consciousness" or simply as"consciousness." He continues to cultivate this sign again and again until theconsciousness belonging to the base of boundless consciousness arises in absorptiontaking as its object the boundless consciousness pertaining to the first immaterial state(Vism. 331-32; PP.360-61).

To attain the next formless state, the base of nothingness, the meditator who hasmastered the base of boundless consciousness must contemplate its defects in the sametwofold manner and advert to the superior peacefulness of the base of nothingness.Without giving any more attention to the base of boundless consciousness, he should"give attention to the present non-existence, voidness, secluded aspect of that same pastconsciousness belonging to the base consisting of boundless space" (Vism. 333; PP.362).In other words, the meditator is to focus upon the present absence or non-existence ofthe consciousness belonging to the base of boundless space, adverting to it over and overthus: "There is not, there is not" or "void, void". When his efforts fructify there arises inabsorption a consciousness belonging to the base of nothingness, with the non-existenceof the consciousness of boundless space as its object. Whereas the second immaterialstate relates to the consciousness of boundless space positively, by focusing upon thecontent of that consciousness and appropriating its boundlessness, the third immaterialstate relates to it negatively, by excluding that consciousness from awareness and makingthe absence or present non-existence of that consciousness its object.

The fourth and final immaterial jhana, the base of neither-perception-nor-non-perception,is reached through the same preliminary procedure. The meditator can also reflect uponthe unsatisfactoriness of perception, thinking: "Perception is a disease, perception is aboil, perception is a dart... this is peaceful, this is sublime, that is to say, neither-perception-nor-non-perception" (M.ii,231). In this way he ends his attachment to the baseof nothingness and strengthens his resolve to attain the next higher stage. He thenadverts to the four mental aggregates that constitute the attainment of the base ofnothingness — its feeling, perception, mental formations and consciousness —

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contemplating them as "peaceful, peaceful," reviewing that base and striking at it withapplied and sustained thought. As he does so the hindrances are suppressed, the mindpasses through access and enters the base of neither-perception-nor-non-perception.

This jhana receives its name because, on the one hand, it lacks gross perception with itsfunction of clearly discerning objects, and thus cannot be said to have perception; on theother, it retains a very subtle perception, and thus cannot be said to be withoutperception. Because all the mental functions are here reduced to the finest and mostsubtle level, this jhana is also named the attainment with residual formations. At this levelthe mind has reached the highest possible development in the direction of pure serenity.It has attained the most intense degree of concentration, becoming so refined thatconsciousness can no longer be described in terms of existence or non-existence. Yet eventhis attainment, from the Buddhist point of view, is still a mundane state which mustfinally give way to insight that alone leads to true liberation.

The Jhanas and Rebirth

Buddhism teaches that all sentient beings in whom ignorance and craving still linger aresubject to rebirth following death. Their mode of rebirth is determined by their kamma,their volitional action, wholesome kamma issuing in a good rebirth and unwholesomekamma in a bad rebirth. As a kind of wholesome kamma the attainment of jhana can playa key role in the rebirth process, being considered a weighty good kamma which takesprecedence over other lesser kammas in determining the future rebirth of the person whoattains it.

Buddhist cosmology groups the numerous planes of existence into which rebirth takesplace into three broad spheres each of which comprises a number of subsidiary planes.The sense-sphere (kamadhatu) is the field of rebirth for evil deeds and for meritoriousdeeds falling short of the jhanas; the fine-material sphere (rupadhatu), the field of rebirthfor the fine-material jhanas; and the immaterial sphere (arupadhatu), the field of rebirthfor the immaterial jhanas.

An unwholesome kamma, should it become determinative of rebirth, will lead to a newexistence in one of the four planes of misery belonging to the sense-sphere: the hells, theanimal kingdom, the sphere of afflicted spirits, or the host of titans. A wholesome kammaof a subjhanic type produces rebirth in one of the seven happy planes in the sense-sphere, the human world or the six heavenly worlds.

Above the sense-sphere realms are the fine-material realms, into which rebirth is gainedonly through the attainment of the fine-material jhanas. The sixteen realms in this sphereare hierarchically ordered in correlation with the four jhanas. Those who have practicedthe first jhana to a minor degree are reborn in the Realm of the Retinue of Brahma, to amoderate degree in the Realm of the Ministers of Brahma, and to a superior degree in theRealm of the Great Brahma.[19] Similarly, practicing the second jhana to a minor degreebrings rebirth in the Realm of Minor Luster, to a moderate degree in the Realm of InfiniteLuster, and to a superior degree the Realm of Radiant Luster.[20] Again, practicing thethird jhana to a minor degree brings rebirth in the Realm of Minor Aura, to a moderatedegree in the Realm of Infinite Aura, and to a superior degree in the Realm of Steady

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Aura.[21]

Corresponding to the fourth jhana there are seven realms: the Realm of Great Reward,the Realm of Non-percipient Beings, and the five Pure Abodes.[22] With this jhana therebirth pattern deviates from the former one. It seems that all beings who practice thefourth jhana of the mundane level without reaching any supramundane attainment arereborn in the realm of Great Reward. There is no differentiation by way of inferior,moderate or superior grades of development. The Realm of Non-percipient Beings isreached by those who, after attaining the fourth jhana, then use the power of theirmeditation to take rebirth with only material bodies; they do not acquire consciousnessagain until they pass away from this realm. The five Pure Abodes are open only tonon-returners (anagamis), noble disciples at the penultimate stage of liberation who haveeradicated the fetters binding them to the sense-sphere and thence automatically takerebirth in higher realms, where they attain arahatship and reach final deliverance.

Beyond the fine-material sphere lie the immaterial realms, which are four in number —the base of boundless space, the base of boundless consciousness, the base ofnothingness, and the base of neither-perception-nor-non-perception. As should beevident, these are realms of rebirth for those who, without having broken the fetters thatbind them to samsara, achieve and master one or another of the four immaterial jhanas.Those meditators who have mastery over a formless attainment at the time of death takerebirth in the appropriate plane, where they abide until the kammic force of the jhana isexhausted. Then they pass away, to take rebirth in some other realm as determined bytheir accumulated kamma.[23]

5. Jhanas and the Supramundane

The Way of Wisdom

The goal of the Buddhist path, complete and permanent liberation from suffering, is to beachieved by practicing the full threefold discipline of morality (sila), concentration(samadhi), and wisdom (pañña). The mundane jhanas, comprising the four fine-materialjhanas and the four immaterial jhanas, pertain to the stage of concentration, which theyfulfill to an eminent degree. However, taken by themselves, these states do not ensurecomplete deliverance, for they are incapable of cutting off the roots of suffering. TheBuddha teaches that the cause of suffering, the driving power behind the cycle of rebirths,is the defilements with their three unwholesome roots — greed, hatred and delusion.Concentration of the absorption level, no matter to what heights it is pursued, onlysuppresses the defilements, but cannot destroy their latent seeds. Thence bare mundanejhana, even when sustained, cannot by itself terminate the cycle of rebirths. To thecontrary, it may even perpetuate the round. For if any fine-material or immaterial jhana isheld to with clinging, it will bring about a rebirth in that particular plane of existencecorresponding to its own kammic potency, which can then be followed by rebirth in some

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lower realm.

What is required to achieve complete deliverance from the cycle of rebirths is theeradication of the defilements. Since the most basic defilement is ignorance (avijja), thekey to liberation lies in developing its direct opposite, namely wisdom (pañña).

Since wisdom presupposes a certain proficiency in concentration it is inevitable that jhanacomes to claim a place in its development. This place, however, is not fixed andinvariable, but as we will see allows for differences depending on the individualmeditator's disposition.

Fundamental to the discussion in this chapter is a distinction between two terms crucial toTheravada philosophical exposition, "mundane" (lokiya) and "supramundane" (lokuttara).The term "mundane" applies to all phenomena comprised in the world (loka) — to subtlestates of consciousness as well as matter, to virtue as well as evil, to meditativeattainments as well as sensual engrossments. The term "supramundane," in contrast,applies exclusively to that which transcends the world, that is the nine supramundanestates: Nibbana, the four noble paths (magga) leading to Nibbana, and theircorresponding fruits (phala) which experience the bliss of Nibbana.

Wisdom has the specific characteristic of penetrating the true nature of phenomena. Itpenetrates the particular and general features of things through direct cognition ratherthan discursive thought. Its function is "to abolish the darkness of delusion which concealsthe individual essences of states" and its manifestation is "non-delusion." Since theBuddha says that one whose mind is concentrated knows and sees things as they are, theproximate cause of wisdom is concentration (Vism. 438; PP.481).

The wisdom instrumental in attaining liberation is divided into two principal types: insightknowledge (vipassanañana) and the knowledge pertaining to the supramundane paths(maggañana). The first is the direct penetration of the three characteristics of conditionedphenomena — impermanence, suffering and non-self.[24] It takes as its objective spherethe five aggregates (pañcakkhandha) — material form, feeling perception, mentalformations and consciousness. Because insight knowledge takes the world of conditionedformations as its object, it is regarded as a mundane form of wisdom. Insight knowledgedoes not itself directly eradicate the defilements, but serves to prepare the way for thesecond type of wisdom, the wisdom of the supramundane paths, which emerges wheninsight has been brought to its climax. The wisdom of the path, occurring in four distinctstages (to be discussed below ), simultaneously realizes Nibbana, fathoms the Four NobleTruths, and cuts off the defilements. This wisdom is called "supramundane" because itrises up from the world of the five aggregates to realize the state transcendent to theworld, Nibbana.

The Buddhist disciple, striving for deliverance, begins the development of wisdom by firstsecurely establishing its roots — purified moral discipline and concentration. He thenlearns and masters the basic material upon which wisdom is to work — the aggregates,elements, sense bases, dependent arising, the Four Noble Truths, etc. He commences theactual practice of wisdom by cultivating insight into the impermanence, suffering andnon-self aspect of the five aggregates. When this insight reaches its apex it issues insupramundane wisdom, the right view factor of the Noble Eightfold Path, which turns from

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conditioned formations to the unconditioned Nibbana and thereby eradicates thedefilements.

The Two Vehicles

The Theravada tradition recognizes two alternative approaches to the development ofwisdom, between which practitioners are free to choose according to their aptitude andpropensity. These two approaches are the vehicle of serenity (samathayana) and thevehicle of insight (vipassanayana). The meditators who follow them are called,respectively, the samathayanika, "one who makes serenity his vehicle," and thevipassanayanika, "one who makes insight his vehicle." Since both vehicles, despite theirnames, are approaches to developing insight, to prevent misunderstanding the latter typeof meditator is sometimes called a suddhavipassanayanika, "one who makes bare insighthis vehicle," or a sukkhavipassaka, "a dry-insight worker." Though all three terms appearinitially in the commentaries rather than in the suttas, the recognition of the two vehiclesseems implicit in a number of canonical passages.

The samathayanika is a meditator who first attains access concentration or one of theeight mundane jhanas, then emerges and uses his attainment as a basis for cultivatinginsight until he arrives at the supramundane path. In contrast, the vipassanayanika doesnot attain mundane jhana prior to practicing insight contemplation, or if he does, does notuse it as an instrument for cultivating insight. Instead, without entering and emergingfrom jhana, he proceeds directly to insight contemplation on mental and materialphenomena and by means of this bare insight he reaches the noble path. For both kindsof meditator the experience of the path in any of its four stages always occurs at a level ofjhanic intensity and thus necessarily includes supramundane jhana under the heading ofright concentration (samma samadhi), the eighth factor of the Noble Eightfold Path.

The classical source for the distinction between the two vehicles of serenity and insight isthe Visuddhimagga where it is explained that when a meditator begins the development ofwisdom "if firstly, his vehicle is serenity, [he] should emerge from any fine-material orimmaterial jhana except the base consisting of neither-perception-nor-non-perception,and he should discern, according to characteristic, function, etc. the jhana factorsconsisting of applied thought, etc. and the states associated with them" (Vism. 557;PP679-80). Other commentarial passages allow access concentration to suffice for thevehicle of serenity, but the last immaterial jhana is excluded because its factors are toosubtle to be discerned. The meditator whose vehicle is pure insight, on the other hand, isadvised to start directly by discerning material and mental phenomena, beginning with thefour elements, without utilizing a jhana for this purpose (Vism. 558; PP.680). Thus thesamathayanika first attains access concentration or mundane jhana and then developsinsight knowledge, by means of which he reaches the supramundane path containingwisdom under the heading of right view, and supramundane jhana under the heading ofright concentration. The vipassanayanika, in contrast, skips over mundane jhana and goesdirectly into insight contemplation. When he reaches the end of the progression of insightknowledge he arrives at the supramundane path which, as in the previous case, bringstogether wisdom with supramundane jhana. This jhana counts as his accomplishment ofserenity.

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For a meditator following the vehicle of serenity the attainment of jhana fulfills twofunctions: first, it produces a basis of mental purity and inner collectedness needed forundertaking the work of insight contemplation; and second, it serves as an object to beexamined with insight in order to discern the three characteristics of impermanence,suffering and non-self. Jhana accomplishes the first function by providing a powerfulinstrument for overcoming the five hindrances. As we have seen, for wisdom to arise themind must first be concentrated well, and to be concentrated well it must be freed fromthe hindrances, a task accomplished pre-eminently by the attainment of jhana. Thoughaccess concentration will keep the hindrances at bay, jhana will ensure that they areremoved to a much safer distance.

In their capacity for producing concentration the jhanas are called the basis (pada) forinsight, and that particular jhana a meditator enters and emerges from beforecommencing his practice of insight is designated his padakajjhana, the basic orfoundational jhana. Insight cannot be practiced while absorbed in jhana, since insightmeditation requires investigation and observation, which are impossible when the mind isimmersed in one-pointed absorption. But after emerging from the jhana the mind iscleared of the hindrances, and the stillness and clarity that then result conduce to precise,penetrating insight.

The jhanas also enter into the samathayanika's practice in second capacity, that is, asobjects for scrutinization by insight. The practice of insight consists essentially in theexamination of mental and physical phenomena to discover their marks of impermanence,suffering and non-self. The jhanas a meditator attains provide him with a readily availableand strikingly clear object in which to seek out the three characteristics. After emergingfrom a jhana the meditator will proceed to examine the jhanic consciousness and todiscern the way it exemplifies the three universal marks. This process is calledsammasanañana, "comprehension knowledge," and the jhana subject to such treatment istermed sammasitajjhana, "the comprehended jhana" (Vism. 607-11; PP.706-10). Thoughthe basic jhana and the comprehended jhana will often be the same, the two do notnecessarily coincide. A meditator cannot practice comprehension on a jhana higher thanhe is capable of attaining, but one who uses a higher jhana as his padakajjhana can stillpractice insight comprehension on a lower jhana which he has previously attained andmastered. The admitted difference between the padakajjhana and the sammasitajjhanaleads to discrepant theories about the supramundane concentration of the noble path, aswe will see.

Whereas the sequence of training undertaken by the samathayanika meditator isunproblematic, the vipassanayanika's approach presents the difficulty of accounting forthe concentration he uses to provide a basis for insight. Concentration is needed in orderto see and know things as they are, but without access concentration or jhana, whatconcentration can he use? The solution to this problem is found in a type of concentrationdistinct from the access and absorption concentrations pertaining to the vehicle ofserenity, called "momentary concentration" (khanika samadhi). Despite its name,momentary concentration does not signify a single moment of concentration amidst acurrent of distracted thoughts, but a dynamic concentration which flows from object toobject in the ever-changing flux of phenomena, retaining a constant degree of intensityand collectedness sufficient to purify the mind of the hindrances. Momentaryconcentration arises in the samathayanika simultaneously with his post-jhanic attainment

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of insight, but for the vipassanayanika it develops naturally and spontaneously in thecourse of his insight practice without his having to fix the mind upon a single exclusiveobject. Thus the follower of the vehicle of insight does not omit concentration altogetherfrom his training, but develops it in a different manner from the practitioner of serenity.Without gaining jhana he goes directly into contemplation on the five aggregates and byobserving them constantly from moment to moment acquires momentary concentration asan accompaniment of his investigations. This momentary concentration fulfills the samefunction as the basic jhana of the serenity vehicle, providing the foundation of mentalclarity needed for insight to emerge.

Supramundane Jhana

The climax in the development of insight is the attainment of the supramundane pathsand fruits. Each path is a momentary peak experience directly apprehending Nibbana andpermanently cutting off certain defilements. These defilements are generally grouped intoa set of ten "fetters" (samyojana) which keep beings chained to the round of rebirths. Thefirst path, called the path of stream-entry (sotapatti) because it marks the entry into thestream of the Dhamma, eradicates the first three fetters — The false view of self, doubt,and clinging to rites and rituals. The disciple who has reached stream-entry has limited hisfuture births to a maximum of seven in the happy realms of the human and heavenlyworlds, after which he will attain final deliverance. But an ardent disciple may progress tostill higher stages in the same life in which he reaches stream-entry, by making anaspiration for the next higher path and again undertaking the development of insight withthe aim of reaching that path.

The next supramundane path is that of the once-returner (sakadagami). This path doesnot eradicate any fetters completely, but it greatly attenuates sensual desire and ill will.The once-returner is so called because he is bound to make an end of suffering afterreturning to this world only one more time. The third path, that of the non-returner(anagami) utterly destroys the sensual desire and ill will weakened by the preceding path.The non-returner is assured that he will never again take rebirth in the sense-sphere; ifhe does not penetrate higher he will be reborn spontaneously in the Pure Abodes andthere reach final Nibbana. The highest path, the path of arahatship, eradicate theremaining five fetters — desire for existence in the fine-material and immaterial spheres,conceit, restlessness and ignorance. The arahant has completed the development of theentire path taught by the Buddha; he has reached the end of rebirths and can sound his"lion's roar": "Destroyed is birth, the holy life has been lived, what was to be done hasbeen done, there is nothing further beyond this."

Each path is followed immediately by the supramundane experience of fruition, whichresults from the path, comes in the same four graded stages, and shares the path's world-transcending character. But whereas the path performs the active function of cutting offdefilements, fruition simply enjoys the bliss and peace that result when the path hascompleted its task. Also, where the path is limited to a single moment of consciousness,the fruition that follows immediately on the path endures for two or three moments. Andwhile each of the four paths occurs only once and can never be repeated, fruition remainsaccessible to the noble disciple at the appropriate level. He can resort to it as a specialmeditative state called fruition attainment (phalasamapatti) for the purpose of

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experiencing nibbanic bliss here and now (Vism. 699-702; PP.819-24).

The supramundane paths and fruits always arise as states of jhanic consciousness. Theyoccur as states of jhana because they contain within themselves the jhana factorselevated to an intensity corresponding to that of the jhana factors in the mundane jhanas.Since they possess the jhana factors these states are able to fix upon their object with theforce of full absorption. Thence, taking the absorptive force of the jhana factors as thecriterion, the paths and fruits may be reckoned as belonging to either the first, second,third or fourth jhana of the fourfold scheme, or to the first, second, third, fourth or fifthjhana of the fivefold scheme.

The basis for the recognition of a supramundane type of jhana goes back to the suttas,especially to the section of "The Great Discourse on the Foundations of Mindfulness"where the Buddha defines right concentration of the Noble Eightfold Path by the standardformula for the four jhanas (D.ii,313). However, it is in the Abhidhamma that theconnection between the jhanas, paths and fruits comes to be worked out with greatintricacy of detail. The Dhammasangani, in its section on states of consciousness,expounds each of the path and fruition states of consciousness as occasions, first, of oneor another of the four jhanas in the fourfold scheme, and then again as occasions of oneor another of the five jhanas in the fivefold scheme (Dhs.74-86). Standard Abhidhammicexposition, as formalized in the synoptical manuals of Abhidhamma, employs the fivefoldscheme and brings each of the paths and fruits into connection with each of the fivejhanas. In this way the eight types of supramundane consciousness — the path andfruition consciousness of stream-entry, the once-returner, the non-returner andarahatship — proliferate to forty types of supramundane consciousness, since any path orfruit can occur at the level of any of the five jhanas. It should be noted, however, thatthere are no paths and fruits conjoined with the immaterial attainments, the reason beingthat supramundane jhana is presented solely from the standpoint of its factorialconstitution, which for the immaterial attainment and the fifth jhana is identical —equanimity and one-pointedness.

The fullest treatment of the supramundane jhanas in the authoritative Pali literature canbe found in the Dhammasangani read in conjunction with its commentary, the Atthasalini.The Dhammasangani opens its analysis of the first wholesome supramundaneconsciousness with the words:

On the occasion when one develops supramundane jhana which is emancipating,leading to the demolition (of existence), for the abandonment of views, for reachingthe first plane, secluded from sense pleasures... one enters and dwells in the firstjhana. (Dhs. 72)

The Atthasalini explains the word lokuttara, which we have been translating"supramundane," as meaning "it crosses over the world, it transcends the world, it standshaving surmounted and overcome the world." It glosses the phrase "one develops jhana"thus: "One develops, produces, cultivates absorption jhana lasting for a single thought-moment." This gloss shows us two things about the consciousness of the path: that itoccurs as a jhana at the level of full absorption and that this absorption of the path lastsfor only a single thought-moment. The word "emancipating" (niyyanika) is explained tomean that this jhana "goes out" from the world, from the round of existence, the phrase

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"leading to demolition" (apacayagami) that it demolishes and dismantles the process ofrebirth (Dhs.A.259).

This last phrase points to a striking difference between mundane and supramundanejhana. The Dhammasangani's exposition of the former begins: "On the occasion when onedevelops the path for rebirth in the fine-material sphere... one enters and dwells in thefirst jhana" [my italics]. Thus, with this statement, mundane jhana is shown to sustain theround of rebirths; it is a wholesome kamma leading to renewed existence. But thesupramundane jhana of the path does not promote the continuation of the round. To thecontrary, it brings about the round's dismantling and demolition, as the Atthasalini showswith an illustrative simile:

The wholesome states of the three planes are said to lead to accumulation becausethey build up and increase death and rebirth in the round. But not this. Just as whenone man has built up a wall eighteen feet high another might take a club and goalong demolishing it, so this goes along demolishing and dismantling the deaths andrebirths built up by the wholesome kammas of the three planes by bringing about adeficiency in their conditions. Thus it leads to demolition.[25]

Supramundane jhana is said to be cultivated "for the abandoning of views." This phrasepoints to the function of the first path, which is to eradicate the fetters. Thesupramundane jhana of the first path cuts off the fetter of personality view and allspeculative views derived from it. The Atthasalini points out that here we shouldunderstand that it abandons not only wrong views but other unwholesome states as well,namely, doubt, clinging to rites and rituals, and greed, hatred and delusion strong enoughto lead to the plane of misery. The commentary explicates "for reaching the first plane" asmeaning for attaining the fruit of stream-entry.

Besides these, several other differences between mundane and supramundane jhana maybe briefly noted. First, with regard to their object, the mundane jhanas have as object aconceptual entity such as the counterpart sign of the kasinas or, in the case of the divineabodes, sentient beings. In contrast, for the supramundane jhana of the paths and fruitsthe object is exclusively Nibbana. With regard to their predominant tone, in mundanejhana the element of serenity prevails, while the supramundane jhana of the paths andfruits brings serenity and insight into balance. Wisdom is present as right view andserenity as right concentration, both function together in perfect harmony, neither oneexceeding the other.

This difference in prevailing tone leads into a difference in function or activity between thetwo kinds of jhana. Both the mundane and supramundane are jhanas in the sense ofclosely attending (upanijjhana), but in the case of mundane jhana this close attentionissues merely in absorption into the object, an absorption that can only suppress thedefilement temporarily. In the supramundane jhana, particularly of the four paths, thecoupling of close attention with wisdom brings the exercise of four functions at a singlemoment. These four functions each apply to one of the Four Noble Truths. The pathpenetrates the First Noble Truth by fully understanding suffering; it penetrates the SecondNoble Truth by abandoning craving, the origin of suffering; it penetrates the Third NobleTruth by realizing Nibbana, the cessation of suffering; and it penetrates the fourth NobleTruth by developing the Noble Eightfold Path that leads to the end of suffering.

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Buddhaghosa illustrates this with the simile of a lamp, which also performs four taskssimultaneously: it burns the wick, dispels darkness, makes light appear, and consumes oil(Vism.690; PP.808).

The Jhanic Level of the Path and Fruit

When the paths and fruits are assigned to the level of the four or five jhanas, the questionarises as to what factor determines their particular level of jhanic intensity. In otherwords, why do the path and fruit arise for one meditator at the level of the first jhana, foranother at the level of the second jhana, and so forth? The commentaries present threetheories concerning the determination of the jhanic level of the path, apparently derivingfrom the lineages of ancient teachers (Vism. 666-67; PP.778-80. Dhs.A.271-74). The firstholds that it is the basic jhana, i.e., the jhana used as a basis for the insight leading toemergence in immediate proximity to the path, that governs the difference in the jhaniclevel of the path. A second theory says that the difference is governed by the aggregatesmade the objects of insight on the occasion of insight leading to emergence. A thirdtheory holds that it is the personal inclination of the meditator that governs the difference.

According to the first theory the path arisen in a dry-insight meditator who lacks jhana,and the path arisen in one who possesses a jhana attainment but does not use it as abasis for insight, and the path arisen by comprehending formations after emerging fromthe first jhana, are all paths of the first jhana only. When the path is produced afteremerging from the second, third, fourth and fifth jhanas (of the fivefold system) and usingthese as the basis for insight, then the path pertains to the level of the jhana used as abasis — the second, third, fourth of fifth. For a meditator using an immaterial jhana asbasis the path will be a fifth jhana path. Thus in this first theory, when formations arecomprehended by insight after emerging from a basic jhana, then it is the jhanaattainment emerged from at the point nearest to the path, i.e., just before insight leadingto emergence is reached, that makes the path similar in nature to itself.

According to the second theory the path that arises is similar in nature to the states whichare being comprehended with insight at the time insight leading to emergence occurs.Thus if the meditator, after emerging from a meditative attainment, is comprehendingwith insight sense-sphere phenomena or the constituents of the first jhana, then the pathproduced will occur at the level of the first jhana. On this theory, then, it is thecomprehended jhana (sammasitajjhana) that determines the jhanic quality of the path.The one qualification that must be added is that a meditator cannot contemplate withinsight a jhana higher than he is capable of attaining.

According to the third theory, the path occurs at the level of whichever jhana themeditator wishes — either at the level of the jhana he has used as the basis for insight orat the level of the jhana he has made the object of insight comprehension. In otherwords, the jhanic quality of the path accords with his personal inclination. However, merewish alone is not sufficient. For the path to occur at the jhanic level wished for, themundane jhana must have been either made the basis for insight or used as the object ofinsight comprehension.

The difference between the three theories can be understood through a simple

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example.[26] If a meditator reaches the supramundane path by contemplating with insightthe first jhana after emerging from the fifth jhana, then according to the first theory hispath will belong to the fifth jhana, while according to the second theory it will belong tothe first jhana. Thus these two theories are incompatible when a difference obtainsbetween basic jhana and comprehended jhana. But according to the third theory, the pathbecomes of whichever jhana the meditator wishes, either the first or the fifth. Thus thisdoctrine does not necessarily clash with the other two.

Buddhaghosa himself does not make a decision among these three theories. He onlypoints out that in all three doctrines, beneath their disagreements, there is the recognitionthat the insight immediately preceding the supramundane path determines the jhaniccharacter of the path. For this insight is the proximate and the principal cause for thearising of the path, so whether it be the insight leading to emergence near the basic jhanaor that occurring through the contemplated jhana or that fixed by the meditator's wish, itis in all cases this final phase of insight that gives definition to the supramundane path.Since the fruition that occurs immediately after the path has an identical constitution tothe path, its own supramundane jhana is determined by the path. Thus a first jhana pathproduces a first jhana fruit, and so forth for the remaining jhanas.

6. Jhana and the Noble DisciplesAll noble persons, as we saw, acquire supramundane jhana along with their attainment ofthe noble paths and fruits. The noble ones at each of the four stages of liberation,moreover, have access to the supramundane jhana of their respective fruitionattainments, from the fruition attainment of stream-entry up to the fruition attainments ofarahatship. It remains problematic, however to what extent they also enjoy thepossession of mundane jhana. To determine an answer to this question we will consult anearly typology of seven types of noble disciples, which provides a more psychologicallyoriented way of classifying the eight noble individuals. A look at the explanation of theseseven types will enable us to see the range of jhanic attainment reached by the nobledisciples. On this basis we will proceed to assess the place of mundane jhana in the earlyBuddhist picture of the arahant, the perfected individual.

Seven Types of Disciples

The sevenfold typology is originally found in the Kitagiri Sutta of the Majjhima Nikaya(M.i,477-79) and is reformulated in the Puggalapaññatti of the Abhidhamma Pitaka. Thistypology classifies the noble persons on the paths and fruits into seven types: the faith-devotee (saddhanusari), the one liberated by faith (saddhavimutta), the body-witness(kayasakkhi), the one liberated in both ways (ubhatobhagavimutta), the truth-devotee(dhammanusari), the one attained to understanding (ditthipatta), and the one liberated bywisdom (paññavimutta). The seven types may be divided into three general groups, eachdefined by the predominance of a particular spiritual faculty, The first two types are

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governed by a predominance of faith, the middle two by a predominance of concentration,and the last three by a predominance of wisdom. To this division, however, certainqualifications will have to made as we go along.

[1] The faith-devotee is explained the sutta thus:

Herein, monks, some person has not reached with his own (mental) body thosepeaceful immaterial deliverances transcending material form: nor after seeing withwisdom, have his cankers been destroyed.[27] But he has a certain degree of faith inthe Tathagata, a certain degree of devotion to him, and he has these qualities — thefaculties of faith, energy, mindfulness, concentration and wisdom. This person,monks, is called a faith-devotee. (M.i,479)

The Puggalapaññatti (p 182) defines the faith-devotee from a different angle as a disciplepracticing for the fruit of stream-entry in whom the faculty of faith is predominant andwho develops the noble path led by faith. It adds that when he is established in the fruithe becomes one liberated by faith. Although the sutta excluded the "peaceful immaterialattainments," i.e., the four immaterial jhana, from the faith-devotee's equipment, thisimplies nothing with regard to his achievement of the four lower mundane jhanas. Itwould seem that the faith-devotee can have previously attained any of the fourfine-material jhanas before reaching the path, and can also be a dry-insight worker bereftof mundane jhana.

[2] The one liberated by faith is strictly and literally defined as a noble disciple at the sixintermediate levels, from the fruit of stream-entry through to the path of arahatship, wholacks the immaterial jhanas and has a predominance of the faith faculty.

The Buddha explains the one liberated by faith as follows:

Herein, monks, some person has not reached with his own (mental) body thosepeaceful immaterial deliverances transcending material form; but having seen withwisdom, some of his cankers have been destroyed, and his faith in the Tathagata issettled, deeply rooted, well established. This person, monks, is called one liberatedby faith. (M.i,478)

As in the case of the faith-devotee, the one liberated by faith, while lacking the immaterialjhanas, may still be an obtainer of the four mundane jhanas as well as a dry insightworker.

The Puggalapaññatti states (pp.184-85) that the person liberated by faith is one whounderstands the Four Noble Truths, has seen and verified by means of wisdom theteachings proclaimed by the Tathagata, and having seen with wisdom has eliminatedsome of his cankers. However, he has not done so as easily as the ditthipatta, the personattained to understanding, whose progress is easier due to his superior wisdom. The factthat the one liberated by faith has destroyed only some of this cankers implies that he hasadvanced beyond the first path but not yet reached the final fruit, the fruit ofarahatship.[28]

[3] The body-witness is a noble disciple at the six intermediate levels, from the fruit of

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stream-entry to the path of arahatship, who has a predominance of the faculty ofconcentration and can obtain the immaterial jhanas. The sutta explanation reads:

And what person, monks is a body-witness? Herein, monks, some person hasreached with his own (mental) body those peaceful immaterial deliverancestranscending material form, and having seen with wisdom, some of his cankershaving been destroyed. This person, monks, is called a body-witness. (M.i,478)

The Puggalapaññatti (p. 184) offers a slight variation in this phrasing, substituting "theeight deliverances" (atthavimokkha) for the sutta's "peaceful immaterial deliverances"(santa vimokkha aruppa). These eight deliverances consist of three meditativeattainments pertaining to the fine-material sphere (inclusive of all four lower jhanas), thefour immaterial jhanas, and the cessation of perception and feeling(saññavedayitanirodha) — the last a special attainment accessible only to thosenon-returners and arahats who have also mastered the eight jhanas.[29] The statement ofthe Puggalapaññatti does not mean either that the achievement of all eight deliverances isnecessary to become a body-witness or that the achievement of the three lowerdeliverances is sufficient. What is both requisite and sufficient to qualify as a body-witnessis the partial destruction of defilements coupled with the attainment of at least the lowestimmaterial jhana. Thus the body witness becomes fivefold by way of those who obtain anyof the four immaterial jhanas and the one who also obtains the cessation of perceptionand feeling.

[4] One who is liberated in both ways is an arahant who has completely destroyed thedefilements and possesses the immaterial attainments. The commentaries explain thename "liberated in both ways" as meaning "through the immaterial attainment he isliberated from the material body and through the path (of arahatship) he is liberated fromthe mental body" (MA.ii,131). The sutta defines this type of disciple thus:

And what person, monks, is liberated in both ways? Herein, monks, someone hasreached with his own (mental) body those peaceful immaterial deliverancestranscending material form, and having seen with wisdom, his cankers aredestroyed. This person, monks, is called liberated in both ways. (M.i,477)

The Puggalapaññatti (p.184) gives basically the same formula but replaces "immaterialdeliverances" with "the eight deliverances." The same principle of interpretation thatapplied to the body-witness applies here: the attainment of any immaterial jhana, eventhe lowest, is sufficient to qualify a person as both-ways liberated. As the commentary tothe Visuddhimagga says: "One who has attained arahatship after gaining even one[immaterial jhana] is liberated both ways" (Vism.T.ii,466). This type becomes fivefold byway of those who attain arahatship after emerging from one or another of the fourimmaterial jhanas and the one who attains arahatship after emerging from the attainmentof cessation (MA:iii,131).

[5] The truth-devotee is a disciple on the first path in whom the faculty of wisdom ispredominant. The Buddha explains the truth-devotee as follows:

Herein, monks, some person has not reached with his own (mental) body thosepeaceful immaterial deliverances transcending material form; nor, after seeing with

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wisdom, have his cankers been destroyed. But the teachings proclaimed by theTathagata are accepted by him through mere reflection, and he has these qualities— the faculties of faith, energy, mindfulness, concentration and wisdom. Thisperson, monks, is called a truth-devotee. (M.i,479)

The Puggalapaññatti (p.185) defines the truth-devotee as one practicing for realization ofthe fruit of stream-entry in whom the faculty of wisdom is predominant, and who developsthe path led by wisdom. It adds that when a truth-devotee is established in the fruit ofstream-entry he becomes one attained to understanding, the sixth type. The sutta andAbhidhamma again differ as to emphasis, the one stressing lack of the immaterial jhanas,the other the ariyan stature. Presumably, he may have any of the four fine-materialjhanas or be a bare-insight practitioner without any mundane jhana.

[6] The one attained to understanding is a noble disciple at the six intermediate levelswho lacks the immaterial jhanas and has a predominance of the wisdom faculty. TheBuddha explains:

And what person, monks, is the one attained to understanding? Herein, monkssomeone has not reached with his own mental body those peaceful immaterialdeliverances transcending material form, but having seen with wisdom some of hiscankers are destroyed, and the teachings proclaimed by the Tathagata have beenseen and verified by him with wisdom. This person, monks, is called the one attainedto understanding. (M.i,478)

The Puggalapaññatti (p.185) defines the one attained to understanding as a person whounderstands the Four Noble Truths, has seen and verified by means of wisdom theteachings proclaimed by the Tathagata, and having seen with wisdom has eliminatedsome of his cankers. He is thus the "wisdom counterpart" of the one liberated by faith, butprogresses more easily than the latter by virtue of his sharper wisdom. Like hiscounterpart, he may possess any of the four mundane jhanas or may be a dry-insightworker.

[7] The one liberated by wisdom is an arahant who does not obtain the immaterialattainments. In the words of the sutta:

And what person, monks, is the one liberated by wisdom? Herein, monks, someonehas not reached with his own (mental) body those peaceful material deliverancestranscending material form, but having seen with wisdom his cankers are destroyed.This person, monks, is called one liberated by wisdom. (M.i,477-78)

The Puggalapaññatti's definition (p.185) merely replaces "immaterial deliverance" with"the eight deliverances." Though such arahats do not reach the immaterial jhanas it isquite possible for them to attain the lower jhanas. The sutta commentary in fact statesthat the one liberated by wisdom is fivefold by way of the dry-insight worker and the fourwho attain arahatship after emerging from the four jhanas.

It should be noted that the one liberated by wisdom is contrasted not with the oneliberated by faith, but with the one liberated in both ways. The issue that divides the twotypes of arahant is the lack or possession of the four immaterial jhanas and the

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attainment of cessation. The person liberated by faith is found at the six intermediatelevels of sanctity, not at the level of arahatship. When he obtains arahatship, lacking theimmaterial jhanas, he becomes one liberated by wisdom even though faith rather thatwisdom is his predominant faculty. Similarly, a meditator with predominance ofconcentration who possesses the immaterial attainments will still be liberated in bothways even if wisdom rather than concentration claims first place among his spiritualendowments, as was the case with the venerable Sariputta.

Jhana and the Arahant

From the standpoint of their spiritual stature the seven types of noble persons can bedivided into three categories. The first, which includes the faith-devotee and the truth-devotee, consists of those on the path of stream-entry, the first of the eight nobleindividuals. The second category, comprising the one liberated by faith, the body-witnessand the one attained to understanding, consists of those on the six intermediate levels,from the stream-enterer to one on the path of arahatship. The third category, comprisingthe one liberated in both ways and the one liberated by wisdom, consists only ofarahats.[30]

The ubhatobhagavimutta, "one liberated in both ways," and the paññavimutta "oneliberated by wisdom," thus form the terms of a twofold typology of arahats distinguishedon the basis of their accomplishment in jhana. The ubhatobhagavimutta arahantexperiences in his own person the "peaceful deliverances" of the immaterial sphere, thepaññavimutta arahant lacks this full experience of the immaterial jhanas. Each of thesetwo types, according to the commentaries, again becomes fivefold — theubhatobhagavimutta by way of those who possess the ascending four immaterial jhanasand the attainment of cessation, the paññavimutta by way of those who reach arahatshipafter emerging from one of the four fine-material jhanas and the dry-insight meditatorwhose insight lacks the support of mundane jhana.

The possibility of attaining the supramundane path without possession of a mundanejhana has been questioned by some Theravada scholars, but the Visuddhimagga clearlyadmits this possibility when it distinguishes between the path arisen in a dry-insightmeditator and the path arisen in one who possesses a jhana but does not use it as a basisfor insight (Vism.666-67; PP.779). Textual evidence that there can be arahats lackingmundane jhana is provided by the Susima Sutta (S.ii, 199-23) together with iscommentaries. When the monks in the sutta are asked how they can be arahats withoutpossessing supernormal powers of the immaterial attainments, they reply: "We areliberated by wisdom" (paññavimutta kho mayam). The commentary glosses this replythus: "We are contemplatives, dry-insight meditators, liberated by wisdom alone" (Mayamnijjhanaka sukkhavipassaka paññamatten'eva vimutta ti, SA.ii,117). The commentary alsostates that the Buddha gave his long disquisition on insight in the sutta "to show thearising of knowledge even without concentration" (vina pi samadhimevamnanuppattidassanattham, SA.ii,117). The subcommentary establishes the point byexplaining "even without concentration" to mean "even without concentration previouslyaccomplished reaching the mark of serenity" (samathalakkhanappattampurimasiddhamvina pi samadhin ti), adding that this is said in reference to one whomakes insight his vehicle (ST.ii,125).

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In contrast to the paññavimutta arahats, those arahats who are ubhatobhagavimuttaenjoy a twofold liberation. Through their mastery over the formless attainments they areliberated from the material body (rupakaya), capable of dwelling in this very life in themeditations corresponding to the immaterial planes of existence; through their attainmentof arahatship they are liberated from the mental body (namakaya), presently free from alldefilements and sure of final emancipation from future becoming. Paññavimutta arahatsonly possess the second of these two liberations.

The double liberation of the ubhatobhagavimutta arahant should not be confused withanother double liberation frequently mentioned in the suttas in connection witharahatship. This second pair of liberations, called cetovimutti paññavimutti, "liberation ofmind, liberation by wisdom," is shared by all arahats. It appears in the stock passagedescriptive of arahatship: "With the destruction of the cankers he here and now entersand dwells in the cankerless liberation of mind, liberation by wisdom, having realized it forhimself with direct knowledge." That this twofold liberation belongs to paññavimuttaarahats as well as those who are ubhatobhagavimutta is made clear by the Putta Sutta,where the stock passage is used for two types of arahats called the "white lotus recluse"and the "red lotus recluse":

How, monks, is a person a white lotus recluse (samanapundarika)? Here, monks,with the destruction of the cankers a monk here and now enters and dwells in thecankerless liberation of mind, liberation by wisdom, having realized it for himselfwith direct knowledge. Yet he does not dwell experiencing the eight deliveranceswith his body. Thus, monks, a person is a white lotus recluse.

And how, monks, is a person a red lotus recluse (samanapaduma)? Here, monks,with the destruction of the cankers a monk here and now enters and dwells in thecankerless liberation of mind, liberation by wisdom, having realized it for himselfwith direct knowledge. And he dwells experiencing the eight deliverances with hisbody. Thus, monks, a person is a red lotus recluse. (A.ii,87)

Since the description of these two types coincides with that of paññavimutta andubhatobhagavimutta the two pairs may be identified, the white lotus recluse with thepaññavimutta, the red lotus recluse with the ubhatobhagavimutta. Yet the paññavimuttaarahant, while lacking the experience of the eight deliverances, still has both liberation ofmind and liberation by wisdom.

When liberation of mind and liberation by wisdom are joined together and described as"cankerless" (anasava), they can be taken to indicate two aspects of the arahant'sdeliverance. Liberation of mind signifies the release of his mind from craving and itsassociated defilements, liberation by wisdom the release from ignorance: "With the fadingaway of lust there is liberation of mind, with the fading away of ignorance there isliberation by wisdom" (A.i,61). "As he sees and understands thus his mind is liberatedfrom the canker of sensual desire, from the canker of existence, from the canker ofignorance" (M.i,183-84) — here release from the first two cankers can be understood asliberation of mind, release from the canker of ignorance as liberation by wisdom. In thecommentaries "liberation of mind" is identified with the concentration factor in the fruitionattainment of arahatship, "liberation by wisdom" with the wisdom factor.

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Since every arahant reaches arahatship through the Noble Eightfold Path, he must haveattained supramundane jhana in the form of right concentration, the eighth factor of thepath, defined as the four jhanas. This jhana remains with him as the concentration of thefruition attainment of arahatship, which occurs at the level of supramundane jhanacorresponding to that of his path. Thus he always stands in possession of at least thesupramundane jhana of fruition, called the "cankerless liberation of mind." However, thisconsideration does not reflect back on his mundane attainments, requiring that everyarahant possess mundane jhana.

Although early Buddhism acknowledges the possibility of a dry-visioned arahatship, theattitude prevails that jhanas are still desirable attributes in an arahant. They are of valuenot only prior to final attainment, as a foundation for insight, but retain their value evenafterwards. The value of jhana in the stage of arahatship, when all spiritual training hasbeen completed, is twofold. One concerns the arahant's inner experience, the other hisouter significance as a representative of the Buddha's dispensation.

On the side of inner experience the jhanas are valued as providing the arahant with a"blissful dwelling here and now" (ditthadhammasukhavihara). The suttas often showarahats attaining to jhana and the Buddha himself declares the four jhanas to befiguratively a kind of Nibbana in this present life (A.iv.453-54). With respect to levels andfactors there is no difference between the mundane jhanas of an arahant and those of anon-arahant. The difference concerns their function. For non-arahats the mundane jhanasconstitute wholesome kamma; they are deeds with a potential to produce results, toprecipitate rebirth in a corresponding realm of existence. But in the case of an arahantmundane jhana no longer generates kamma. Since he has eradicated ignorance andcraving, the roots of kamma, his actions leave no residue; they have no capacity togenerate results. For him the jhanic consciousness is a mere functional consciousnesswhich comes and goes and once gone disappears without a trace.

The value of the jhanas, however, extends beyond the confines of the arahant's personalexperience to testify to the spiritual efficacy of the Buddha's dispensation. The jhanas areregarded as ornamentations of the arahant, testimonies to the accomplishment of thespiritually perfect person and the effectiveness of the teaching he follows. A worthy monkis able to "gain at will without trouble or difficulty, the four jhanas pertaining to the higherconsciousness, blissful dwellings here and now." This ability to gain the jhanas at will is a"quality that makes a monk an elder." When accompanied by several other spiritualaccomplishments it is an essential quality of "a recluse who graces recluses" and of amonk who can move unobstructed in the four directions. Having ready access to the fourjhanas makes an elder dear and agreeable, respected and esteemed by his fellow monks.Facility in gaining the jhanas is one of the eight qualities of a completely inspiring monk(samantapasadika bhikkhu) perfect in all respects; it is also one of the eleven foundationsof faith (saddha pada). It is significant that in all these lists of qualities the last item isalways the attainment of arahatship, "the cankerless liberation of mind, liberation bywisdom," showing that all desirable qualities in a bhikkhu culminate in arahatship.[31]

The higher the degree of his mastery over the meditative attainments, the higher theesteem in which an arahant monk is held and the more praiseworthy his achievement isconsidered. Thus the Buddha says of the ubhatobhagavimutta arahant: "There is noliberation in both ways higher and more excellent than this liberation in both

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ways"(D.ii,71).

The highest respect goes to those monks who possess not only liberation in both ways butthe six abhiññas or "super-knowledges": the exercise of psychic powers, the divine ear,the ability to read the minds of others, the recollection of past lives, knowledge of thedeath and rebirth of beings, and knowledge of final liberation. The Buddha declares that amonk endowed with the six abhiññas, is worthy of gifts and hospitality, worthy ofofferings and reverential salutations, a supreme field of merit for the world (A.iii,280-81).In the period after the Buddha's demise, what qualified a monk to give guidance to otherswas endowment with ten qualities: moral virtue, learning, contentment, mastery over thefour jhanas, the five mundane abhiññas and attainment of the cankerless liberation ofmind, liberation by wisdom (M.iii,11-12). Perhaps it was because he was extolled by theBuddha for his facility in the meditative attainments and the abhiññas that the venerableMahakassapa assumed the presidency of the first great Buddhist council held in Rajagahaafter the Buddha's passing away.

The graduation in the veneration given to arahats on the basis of their mundane spiritualachievements implies something about the value system of early Buddhism that is notoften recognized. It suggests that while final liberation may be the ultimate and mostimportant value, it is not the sole value even in the spiritual domain. Alongside it, asembellishments rather than alternatives, stand mastery over the range of the mind andmastery over the sphere of the knowable. The first is accomplished by the attainment ofthe eight mundane jhanas, the second by the attainment of the abhiññas. Together, finalliberation adorned with this twofold mastery is esteemed as the highest and mostdesirable way of actualizing the ultimate goal.

About the AuthorMahathera Henepola Gunaratana was ordained as a Buddhist monk in Kandy, Sri Lanka, in1947 and received his education at Vidyalankara College and Buddhist Missionary College,Colombo. He worked for five years as a Buddhist missionary among the Harijans(Untouchables) in India and for ten years with the Buddhist Missionary Society in KualaLumpur, Malaysia. In 1968 he came to the United States to serve as general secretary ofthe Buddhist Vihara Society at the Washington Buddhist Vihara. In 1980 he was appointedpresident of the Society. He has received a Ph.D. from The American University and since1973 has been Buddhist Chaplain at The American University. He is now director of theBhavana Meditation Center in West Virginia in the Shenandoah Valley, about 100 milesfrom Washington, D.C.

Notes

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1.

2.3.4.

5.

6.

7.8.

9.

10.

11.

12.

13.

14.

15.16.

17.

See for example, the Samaññaphala Sutta (D. 2), the CulahatthipadopamaSutta (M. 27),etc.Kamacchanda, byapada, thinamiddha, uddhaccakukkucca, vicikiccha.Vitakka, vicara, piti, sukha, ekaggata.Akasanañcayatana, viññanañcayatana, akincaññayatana,nevasaññanasaññayatana.See Narada, A Manual of Abhidhamma, 4th ed. (Kandy: Buddhist PublicationSociety, 1980), pp.389, 395-96.A full description of the fourfold purification of morality will be found in theVisuddhimagga, Chapter 1.The following discussion is based on Vism.110-115; PP.112-118.Buddhaghosa ascribes the passage he cites in support of the correspondence tothe "Petaka," but it cannot be traced anywhere in the present Tipitaka, nor in theexegetical work named Petakopadesa.The other two types of abandoning are by substitution of opposites(tadangappahana), which means the replacement of unwholesome states bywholesome ones specifically opposed to them, and abandoning by eradication(samucchedappahana), the final destruction of defilements by thesupramundane paths. See Vism.693-96;PP.812-16.

Adapted from Nyanaponika Thera, The Five Mental Hindrances and TheirConquest (Wheel No. 26). This booklet contains a full compilation of texts on thehindrances.

Ven Ñanamoli, in his translation of the Visuddhimagga, renders piti by"happiness," but this rendering can be misleading since most translators use"happiness" as a rendering for sukha, the pleasurable feeling present in thejhana. We will render piti by "rapture," thus maintaining the connection of theterm with ecstatic meditative experience.

Shwe Zan Aung, Compendium of Philosophy (London: Pali Text Society, 1960),p243.

Khuddhikapiti, khanikapiti, okkantikapiti, ubbega piti and pharana piti. Vism143-44; PP. 149-51. Dhs.A.158.

Dhs.A.160-61. Translation by Maung Tin, The Expositor (Atthasalini) (London:Pali Text Society, 1921), i.155-56.

The following is based on Vism. 126-35; PP.132-40Avajjanavasi, samapajjanavasi, adhitthanavasi, vutthanavasi,

paccavekkhanavasi. For a discussion see Vism. 154-55; PP.160-61. Thecanonical source for the five masteries is the Patisambhidamagga, i.100.

Based on the distinction between applied and sustained thought, theAbhidhamma presents a fivefold division of the jhanas obtained by recognizingthe sequential rather than simultaneous elimination of the two kinds of thought.On this account a meditator of duller faculties eliminates applied thought firstand attains a second jhana with four factors including sustained thought, and athird jhana identical with the second jhana of the fourfold scheme. In contrast ameditator of sharp faculties comprehends quickly the defects of both applied andsustained thought and so eliminates them both at once.Akasanañcayatana, viññanañcayatana, akincaññayatana, nevasaññana

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18.19.20.21.22.23.

24.25.26.27.

28.

29.

30.

31.

saññayatana.Brahmaparisajja brahmapurohita, maha brahma.Paritabha, appamanabha, abhassara.Parittasubha, appamanasubha, subhakinha.Vehapphala, asaññasatta, suddhavasa.A good summary of Buddhist cosmology and of the connection between

kamma and planes of rebirth can be found in Narada, A Manual of Abhidhamma,pp.233-55.

Anicca, dukkha, anatta.Dhs.A.259.See Expositor, ii.289-90.Dhs.A.274. See Expositor, ii.310.The cankers (asava) are four powerful defilements that sustain samsara;

sensual desire, desire for existence, wrong views and ignorance.The Visuddhimagga, however says that arahats in whom faith is predominant

can also be called "liberated by faith" (Vism.659; PP.770). Its commentarypoints out that this statement is intended only figuratively, in the sense thatthose arahats reach their goal after having been liberated by faith in theintermediate stages. Literally, they would be "liberated by wisdom".(Vism.T.ii,468)

The first three emancipations are: one possessing material form sees materialforms; one not perceiving material forms internally sees material formsexternally; and one is released upon the idea of the beautiful. They areunderstood to be variations on the jhanas attained with color kasinas. For theattainment of cessation, see PP.824-833.

It should be noted that the Kitagiri Sutta makes no provision in its typology fora disciple on the first path who gains the immaterial jhanas. Vism.T.(ii,466)holds that he would have to be considered either a faith-devotee or a truth-devotee, and at the final fruition would be one liberated in both ways.

The references are to: A,ii,23; iii,131,135,114; iv,314-15; v,337.

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Founded in 1958, the BPS has published a wide variety of books and booklets covering a great range oftopics. Its publications include accurate annotated translations of the Buddha's discourses, standardreference works, as well as original contemporary expositions of Buddhist thought and practice. Theseworks present Buddhism as it truly is — a dynamic force which has influenced receptive minds for the past2500 years and is still as relevant today as it was when it first arose.

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©1988 Buddhist Publication Society. You may copy, reformat, reprint, republish, and redistribute this work inany medium whatsoever, provided that: (1) you only make such copies, etc. available free of charge and, in thecase of reprinting, only in quantities of no more than 50 copies; (2) you clearly indicate that any derivatives ofthis work (including translations) are derived from this source document; and (3) you include the full text of thislicense in any copies or derivatives of this work. Otherwise, all rights reserved. Documents linked from this pagemay be subject to other restrictions. The Wheel Publication No. 351/353 (Kandy: Buddhist Publication Society,1988). Transcribed from the print edition in 1995 by Bill Petrow and Jane Yudelman under the auspices of theDharmaNet Dharma Book Transcription Project, with the kind permission of the Buddhist Publication Society.Last revised for Access to Insight on 30 November 2013.

How to cite this document (a suggested style): "The Jhanas in Theravada Buddhist Meditation", by HenepolaGunaratana. Access to Insight (Legacy Edition), 30 November 2013, http://www.accesstoinsight.org/lib/authors/gunaratana/wheel351.html .

Editor's note: This book is an abridged version of the author's The Path of Serenity and Insight: An Explanationof the Buddhist Jhanas, copyright © 1985 Motilal Banarsidass, New Delhi, and is published in the Wheel seriesby arrangement with that publisher.

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The Jhanas in Theravada Buddhist Meditation http://www.accesstoinsight.org/lib/authors/gunaratana/wheel351.html

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